WORLD TRADE  
ORGANIZATION  WT/CTE/W/160/Rev.4 
TN/TE/S/5/Rev.2 14 March 2007 
 
(07-1070) 
Committee on Trade and Environment 
Committee on Trade and Environment Special Session  
 
 
 
MATRIX ON TRADE MEASURES PURSUANT TO SELECTED 
MULTILATERAL ENVIRONMENTAL AGREEMENTS 
 
Note by the Secretariat  
 
Revision  
   
This document has been pre pared under the Secretariat's 
own responsibility and without prejudice to the positions of 
Members and to their rights and obligations under the WTO.  
 
 
 
1. To provide background information on Multilate ral Environmental Agreements (MEAs), the 
Secretariat had prepared a note containing a matrix on trade-related measures pursuant to selected MEAs.  The note prepared initially in 2000 was update d in 2001, 2003, and 2005.  The present update 
of the Matrix provides information on the 14 MEAs  that were covered in the previous versions.
1  The 
Secretariat has prepared this Matrix in consulta tion with the Secretariats of the relevant MEAs.2   
2. The Matrix is divided into six Sections and an Annex. 
3. Section I  briefly describes each MEA, providing information on the following: 
(1) Web site; 
(2) objective of the MEA; 
(3) date of Signature/Adoption; 
(4) entry into force (Date/Provision); 
(5) number of parties to the MEA; 
(6) number of WTO Members party to the MEA; 
(7) openness of Membership; 
(8) decision-Making Bodies;  and 
(9) provisions relating to Amendments and Protocols. 
                                                      
1 WT/CTE/W/160/Rev.1 of 14 June 2001,  Rev.2 of 25 April 2003, and Rev.3 of 16 February 2005. 
2 The Secretariats of the respective MEAs were asked to confirm and complete the information 
contained in the Matrix.  However, the WTO Secretariat ta kes full responsibility for any errors or omissions that 
this document may contain. WT/CTE/W/160/Rev.4 
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  4. Section II  contains information on the trade-related measures of each MEA, notably on 
requirements or restrictions on imported or expor ted products.  Informati on under this section is 
divided, where applicable, into two sub-sections: 
(1) Provisions of the MEA, and 
(2) Decisions of the Decision-Making Bodies. 
5. Section III  provides information on supportive measures, such as technology transfer, and 
financial or technical assistance under the provisions of the MEA.   
6. Section IV  explains the mechanism set out in the ME A for the non-compliance of a party.   
7. Section V  lists the dispute settlement mechanisms in the MEA and indicates whether there 
have been any disputes to date.   
8. Section VI  sets out the provisions relating to non-parties to the MEA. 
9. Annex provides a comparative table of WTO and MEA membership. 
10. The Secretariat will continue to update this Matrix in the light of further developments.  WT/CTE/W/160/Rev.4 
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  TABLE OF CONTENTS  
 
GLOSSARY OF TERMS.............................................................................................................. ........7  
I. BRIEF DESCRIPTION OF THE MEAS ...............................................................................9  
A. INTERNATIONAL PLANT PROTECTION CONVENTION ..................................................................9  
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS .....................11  
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA 
AND FLORA ............................................................................................................................... 12 
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES .............15  
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER .........................19  
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF 
HAZARDOUS WASTES AND THEIR DISPOSAL ............................................................................22  
G. CONVENTION ON BIOLOGICAL DIVERSITY ...............................................................................26  
H. CARTAGENA PROTOCOL ON BIOSAFETY ...................................................................................28  
I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE .....................................30  
J. KYOTO PROTOCOL ....................................................................................................................32  
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT ...................................................................33  
L. UN FISH STOCKS AGREEMENT .................................................................................................37  
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR 
CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE ...................39  
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS .......................................41  
II. TRADE-RELATED MEASURES.........................................................................................42  
A. INTERNATIONAL PLANT PROTECTION CONVENTION ................................................................42  
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS .....................44  
1. Resolutions.................................................................................................................... ...........44  
2. Recommendations................................................................................................................ ...46 
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA 
AND FLORA ............................................................................................................................... 48 
1. Provisions of the Convention .................................................................................................48  
2. Resolutions and Decisions of the Conference of the Parties................................................51  
3. Information on quota sy stems within  CITES.......................................................................54  
4. Voluntary national export quotas..........................................................................................55  
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES .............56  
E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER .........................57  
1. Provisions of the Protocol..................................................................................................... ..57 
2. Decisions of the Meetin gs of the Parties................................................................................59  WT/CTE/W/160/Rev.4 
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  F.
 BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF 
HAZARDOUS WASTES AND THEIR DISPOSAL ............................................................................61  
1. Provisions of the Convention .................................................................................................61  
2. Decisions of the Conf erence of Parties ..................................................................................64  
G. CONVENTION ON BIOLOGICAL DIVERSITY ...............................................................................66  
1. Provisions of the Convention .................................................................................................66  
2. Decisions of the Conferen ce of the Parties............................................................................69  
H. CARTAGENA PROTOCOL ON BIOSAFETY ...................................................................................80  
1. Provisions of the Protocol..................................................................................................... ..80 
2. Decisions of the COP-MOP....................................................................................................84  
I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE .....................................88  
J. KYOTO PROTOCOL ....................................................................................................................88  
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT ...................................................................90  
1. Provisions of the Agreement ..................................................................................................90  
2. Decisions and Recommendations...........................................................................................90  
L. UN FISH STOCKS AGREEMENT ..................................................................................................91  
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR 
CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL TRADE ...................92  
1. Provisions of the Convention .................................................................................................92  
2. Decisions ...................................................................................................................... ............95  
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS .......................................96  
III. SUPPORTIVE MEASURES..................................................................................................97  
(a) IPPC ............................................................................................................................... ..........97  
(b) ICCAT ............................................................................................................................... .......98  
(c) CITES ............................................................................................................................... .......98  
(d) CCAMLR ............................................................................................................................... .99 
(e) Montreal Protocol ...................................................................................................................99  
(f) Basel Convention ...................................................................................................................100  
(g) CBD ............................................................................................................................... .........100  
(h) Cartagena Protocol ...............................................................................................................101  
(i) UNFCCC ............................................................................................................................... .102 
(j) Kyoto Protocol .......................................................................................................................103  
(k) ITTA ............................................................................................................................... ........104  
(l) UN Fish Stocks Agreement ..................................................................................................104  
(m) Rotterdam Convention .........................................................................................................105  
(n) Stockholm Convention ..........................................................................................................106   WT/CTE/W/160/Rev.4 
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  IV. NON-COMPLIANCE MECHANISM................................................................................106  
(a) IPPC ............................................................................................................................... ........106  
(b) ICCAT ............................................................................................................................... .....107  
(c) CITES ............................................................................................................................... .....107  
(d) CCAMLR ..............................................................................................................................1 09 
(e) Montreal Protocol .................................................................................................................111  
(f) Basel Convention ...................................................................................................................112  
(g) CBD ............................................................................................................................... .........112  
(h) Cartagena Protocol ...............................................................................................................112  
(i) UNFCCC ............................................................................................................................... .113 
(j) Kyoto Protocol .......................................................................................................................114  
(k) ITTA ............................................................................................................................... ........114  
(l) UN Fish Stocks Agreement ..................................................................................................114  
(m) Rotterdam Convention .........................................................................................................115  
(n) Stockholm Convention ..........................................................................................................116  
V. DISPUTES....................................................................................................................... ......116  
(a) IPPC ............................................................................................................................... ........116  
(b) ICCAT ............................................................................................................................... .....117  
(c) CITES ............................................................................................................................... .....117  
(d) CCAMLR ..............................................................................................................................1 17 
(e) Montreal  Protocol ................................................................................................................117  
(f) Basel  Convention ..................................................................................................................118  
(g) CBD ............................................................................................................................... .........118  
(h) Cartagena Protocol ...............................................................................................................119  
(i) UNFCCC ............................................................................................................................... .119 
(j) Kyoto Protocol .......................................................................................................................119  
(k) ITTA ............................................................................................................................... ........119  
(l) UN Fish Stocks Agreement ..................................................................................................119  
(m) Rotterdam Convention .........................................................................................................121  
(n) Stockholm Convention ..........................................................................................................121  
VI. PROVISIONS FOR NON-PARTIES..................................................................................122  
(a) IPPC ............................................................................................................................... ........122  
(b) ICCAT ............................................................................................................................... .....122  
(c) CITES ............................................................................................................................... .....123  
(d) CCAMLR ..............................................................................................................................1 24 WT/CTE/W/160/Rev.4 
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  (e)
 Montreal Protocol .................................................................................................................126  
(f) Basel Convention ...................................................................................................................126  
(g) CBD ............................................................................................................................... .........127  
(h) Cartagena Protocol ...............................................................................................................127  
(i) UNFCCC ............................................................................................................................... .127 
(j) Kyoto Protocol .......................................................................................................................127  
(k) ITTA ............................................................................................................................... ........127  
(l) UN Fish Stocks Agreement ..................................................................................................127  
(m) Rotterdam Convention .........................................................................................................129  
(n) Stockholm Convention ..........................................................................................................129  
ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARATIVE TABLE .....................130  
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GLOSSARY OF TERMS 
 
 
AIA Advanced Informed Agreement 
ATS Antarctic Treaty System BCH Biosafety Clearing-House 
CBD  Convention on Biological Diversity  
CCAMLR  Convention on the Conservation of Antarctic Marine Living Resources  
CCAS Convention for the Conservation of Antarctic Seals CDM  Clean Development Mechanism  
CFCs  Chlorofluorocarbons  
CITES  Convention on the International Trade in Endangered Species of Wild Fauna 
and Flora  
COP  Conference of the Parties  
CPCs Contracting Parties and Cooperating non-Contracting Parties, Entities or 
Fishing Entities 
EEZ Exclusive Economic Zone  
FAO Food and Agriculture Organization of the United Nations 
GEF  Global Environment Facility  
HBFCs Hydrobromofluorocarbons HCFCs Hydrochlorofluorocarbons ICCAT  International Commission for the Conservation of Atlantic Tunas  
ICJ International Court of Justice 
ICPO International Criminal Police Organization 
ICTSD International Centre for Tr ade and Sustainable Development 
IFC International Finance Corporation IPPC International Plant Protection Convention ITLOS International Tribunal of the Law of the Sea 
ITTA/ITTO/ITTC  International Tropical Timber Agreement/Organization/Council  
IUCN The World Conservation Union IUU Illegal, Unregulated and Unreported IWC International Whaling Commission LDCs Least Developed Countries 
LMOs  Living Modified Organisms  
MCP  Multilateral Consultative Process  
MEAs  Multilateral environmental agreements  WT/CTE/W/160/Rev.4 
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  MOP Meeting of the Parties 
MP Montreal Protocol on Substances that Deplete the Ozone Layer  
NBF National Biosafety Frameworks NCPs Non-Contracting Parties, Entities or Fishing Entities 
ODS  Ozone-Depleting Substances  
OECD Organization for Economic Co-operation and Development 
PFII Permanent Forum on Indigenous Issues PIC Prior Informed Consent Procedure  
POPs  Persistent organic pollutants  
RFMO Regional Fisheries Management Organizations 
SPS Sanitary and Phytosanitary Measures TBT Technical Barriers to Trade TRIPS Agreement on Trade-Related Asp ects of Intellectual Property Rights 
UN United Nations 
UNCLOS United Nations Convention on the Law of the Sea 
UNCTAD United Nations Conference on Trade and Development UNEP United Nations Environment Programme UNEP-ETB UNEP Economics and Trade Programme UNESCO United Nations Educational, Sc ientific and Cultural Organization 
UNFCCC  United Nations Framework C onvention on Climate Change  
UNGA General Assembly of the United Nations 
WHO World Health Organization WIPO World Intellectual Property Organization 
 
  
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 Page 9I. BRIEF DESCRIPTION OF THE MEAS 
A. INTERNATIONAL PLANT PROTECTION CONVENTION  
11. The first version of the International Pl ant Protection Convention (IPPC) was adopted in November 1951 and entered into force i n April 1952 (IPPC 
1951).  It was revised in 1979 (IPPC 1979), and the revised text ca me into force in April 1991.  The text of the Convention was  further amended in 1997 (the 
1997 Amendments), and the text as amended came  into force with respect to all contracting parties, regardless of the date on wh ich they became parties, in 
October 2005.     
Web site www.ippc.int 
Objective Æ The IPPC is an international treaty for plant protection.  Its purpose is to "secur[e] common an d effective action to prevent t he spread and introduction of 
pests of plants and plant products, and to promote appropriate measures for their control" (Article I).  
Æ Although the IPPC has strong implications for international trad e, its focus is international cooperation for plant protection.   Many forms of cooperation 
fall within the scope of the Convention.  Its application to pl ants is not limited to the protection of cultivated plants or di rect damage from pests.  The scope 
of the Convention extends to the protection of cultivated and natu ral flora, as well as plant products, and includes direct and  indirect damage by pests. 
Æ The Preamble recognizes that phytosanitary measures should be technically justified, transparent and should not be applied in s uch a way as to constitute 
either a means of arbitrary or unjustified discrimination or a disguised restriction, particularly on international trade;  it also takes note of the Agreements 
concluded as a result of the Uruguay Round of Multilateral Trade Negotiations, including the SPS Agreement. 
Date of Adoption November 1997 
Entry into force 2 October 2005 
Parties 158 
WTO Members 127 Parties to IPPC are also WTO Members.  
Openness of 
Membership Article XVII – Ratification and adherence 
"1. This Convention shall be open for signature by all states  until 1 May 1952 and shall be ratified at the earliest possible d ate... 
2. As soon as this Convention has come into force in accordance with Article XXII it shall be open for adherence by non-signato ry states and member 
organizations of FAO.  Adherence shall be effected by the deposit of an instrument of adherence with the Director-General of FA O, who shall notify all 
contracting parties. 
3. When a member organization of FAO beco mes a contracting party to this Convention,  the member organization shall, in accordan ce with the provisions 
of Article II paragraph 7 of the FAO Constitution, as appropriate,  notify at the time of its adherence such modifications or cl arifications to its declaration of 
competence submitted under Article II paragraph 5 of the FAO Cons titution as may be necessary in  light of its acceptance of thi s Convention.  Any 
contracting party to this Convention may, at any time, request a member organization of FAO that is a contracting party to this  Convention to provide 
information as to which, as between the member organization and its member states, is responsibl e for the implementation of any  particular matter covered 
by this Convention.  The member organization shall provide this information within a reasonable time". 
Decision-Making 
Bodies 
 
 
 ARTICLE X – Standards 
"1. The contracting parties agree to cooperate in the developmen t of international standards in accordance with the procedures adopted by the Commission. 
2. International standards shall be adopted by the Commission. 3. Regional standards should be consistent with the principles of this Convention;  such standards may be deposited with the Co mmission for consideration 
as candidates for international standards for phytosanitary measures if more broadly applicable. 
4. Contracting parties should take into account, as appropriat e, international standards when undertaking activities related to  this Convention".  
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Page 10  
 
 
 
 
 
 
 
 
 
 
 
 Article XI – Commission on Phytosanitary Measures 
"1. Contracting parties agree to establish the Commission on Phytosanitary Measures within  the framework of the FAO. 
2. The functions of the Commission shall be to promote the full implementation of the objectives of the Convention and, in part icular, to: 
a) review the state of plant protection in the world and the need for action to contro l the international spread of pests and t heir introduction into 
endangered areas; 
b) establish and keep under review the necessary institutional ar rangements and procedures for the development and adoption of international standards, 
and to adopt international standards; 
c) establish rules and procedures for the resoluti on of disputes in accordance with Article XIII; 
d) establish such subsidiary bodies of the Commission as ma y be necessary for the proper implementation of its functions; 
e) adopt guidelines regarding the recognition of regional plant protection organizations; 
f) establish cooperation with other relevant internationa l organizations on matters covered by this Convention; 
g) adopt such recommendations for the implemen tation of the Convention as necessary;  and 
h) perform such other functions as may be necessary to the fulfilment of the objectives of this Convention. 
3. Membership in the Commission shall be open to all contracting parties.… 
5. The contracting parties shall make every effort to reach agreement on all matters by  consensus.  If all efforts to reach con sensus have been exhausted and 
no agreement is reached, the deci sion shall, as a last resort, be taken by a tw o-thirds majority of the contracting parties pre sent and voting. 
6. A member organization of FAO that is a contracting party and the member states of that member organization that are contract ing parties shall exercise 
their membership rights and fulfil their membership obligations in accordance, mutatis mutandis , with the Constitution and General Rules of FAO …".  
Æ An Interim Commission on Phytosanitary Measures (ICPM) was estab lished with the adoption of the 1997 Amendments.  With the entr y into force of the 
1997 Amendments in 2005, the Commission on Phytosanitary Measures (CPM) superseded the ICPM.   The first meeting of the CPM was  held in Rome on 
3-7 April 2006.   
Amendments and 
Protocols Article XVI – Supplementary agreements 
"1. The contracting parties may, for the purpose of meeting special problems of plant protection which need particular attentio n or action, enter into 
supplementary agreements.  Such ag reements may be applicable to specific regions,  to specific pests, to specific plants and pla nt products, to specific 
methods of international transportation of plants and plant products, or otherwise supplement the provisions of this Convention .  
2. Any such supplementary agreements sh all come into force for each contracting party concerned after acceptance in accordance with the provisions of the 
supplementary agreements concerned.  3. Supplementary agreements shall promote the intent of this Convention and shall conform to the principles and provisions of t his Convention, as well as to 
the principles of transparency, non-discrimination and the avoidance of disguised restrictions, particularly on international t rade". 
 
Article XXI – Amendment 
"1. Any proposal by a contracting party for the amendment of this Convention shall be communicated to the Di rector-General of F AO. 
2. Any proposed amendment of this Conventi on received by the Director-Gen eral of FAO from a contrac ting party shall be presente d to a regular or special 
session of the Commission for approval and, if the amendment involves important techni cal changes or imposes additional obligat ions on the contracting 
parties, it shall be considered by an advisory committee of specialists convened by FAO prior to the Commission.  
3. Notice of any proposed amendment of this Convention, other than amendments to the Annex, shall be transmitted to the contrac ting parties by the 
Director-General of FAO not later than the time when the agenda of the session of the Commission at which the matter is to be c onsidered is dispatched. 
4. Any such proposed amendment of this Convention shall require the approval of the Commission and shall come into force as fro m the thirtieth day after 
acceptance by two-thirds of the contracting pa rties.  For the purpose of this Article, an instrument deposited by a member orga nization of FAO shall not be 
counted as additional to those deposited by member states of such an organization. 
5. Amendments involving new obligations for contracting parties, however, shall come into force in respect of each contracting party only on acceptance by  
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 Page 11it and as from the thirtieth day after such  acceptance.  The instruments of acceptance of amendments involving new obligations shall be deposited with the 
Director-General of FAO, who shall inform all contractin g parties of the receipt of acceptan ce and the entry into force of amen dments. 
6. Proposals for amendments to the model phytosanitary certificates set out in the Annex to this Convention shall be sent to th e Secretary and shall be 
considered for approval by the Commission.  Approved amendments to the model phytosanitary certificates set out in the Annex to  this Convention shall 
become effective ninety days after their notifica tion to the contracting parties by the Secretary. 
7. For a period of not more than twelve months from an amendment to the model phytosanitary certificates set out in the Annex t o this Convention 
becoming effective, the previous version of  the phytosanitary certificates shall also be legally valid for the purpose of this Convention." 
 
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS  
Web site www.iccat.es, www.iccat.int 
Objective ICCAT is responsible for the conservation of  tunas and tuna-like species in the Atlan tic Ocean and adjacent seas.  Its mandate also includes the study of fish 
species caught incidentally to tuna fishing.  
Date of Signature Convention:  14 May 1966 
Paris Protocol (on Articles XIV, XV and XVI):  10 July 1984 Madrid Protocol (to Article X:2):  5 June 1992 
Entry into force Convention:  21 March 1969 
Paris Protocol (on Articles XIV, XV and XVI):  14 December 1997 
Madrid Protocol (to Article X:2):  10 March 2005    
Parties 43 Parties 
WTO Members 35 Parties to ICCAT are also WTO Members 
Openness of 
Membership Article XIV.1 
"This Convention shall be open for signature by any Government which is a Member of the United Nations or of any Specialized Ag ency of the 
United Nations.  Any such Government which does not sign this Convention may adhere to it at any time". 
Æ In addition, the Paris Protocol  states in Article XIV, paragraph 4:  "This Convention shall be open for signature or adherence by any inter-governmental 
economic integration organization constituted by States that have transferred to it competence over the matters governed by thi s Convention, including the 
competence to enter into treaties in respect of those matters." Paragraph 6 furt her provides that, "When an organization referr ed to in paragraph 4 becomes a 
Contracting Party to this Convention, the member states of that  organization and those which adhere to it in the future shall c ease to be parties to the 
Convention."  
Decision-Making 
Bodies Æ The Convention established the International Commission for the Conservation of Atlantic Tuna s (hereafter the "Commission"). 
Æ The Commission can, on the basis of scientific evidence and other relevant information, recommend management measures and Resol utions aimed at 
carrying out its objective of maintaining the populations of tuna  and tuna-like fishes at "levels which will permit maximum sus tainable catch".  The 
scientific advice is prepared by the orga nization´s scientific branch, the Standing Committee on Research and Statistics (SCRS) . 
Æ Normally, Recommendations and Resolutions are drafted by already- established auxiliary bodies (such as the four species-group P anels, the Compliance 
Committee or the Permanent Working Group on ICCAT Statistics and Conservation Measures), and are presented to the Commission as  the ultimate 
decision-making body.  Whil e Recommendations are applicable to Contracting Parties and Cooperating non-Contracting Parties, Ent ities or Fishing Entities, 
Contracting Parties have a six-month grace period in which to present objections (Article VIII:3).  
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Page 12 Article III:1 
"1. The Contracting Parties hereby agree to establish and mainta in a Commission to be known as the International Commission for  the Conservation of 
Atlantic Tunas, hereinafter referred to as "the Commission," wh ich shall carry out the objectives set forth in this Convention" . 
Article VI 
"To carry out the objectives of this Convention the Commission ma y establish Panels on the basis of species, group of species, or of geographic areas.  Each 
Panel in such case: 
(a) shall be responsible for keeping under review the species, group of species, or geographic area under its purview, and for collecting scientific and 
other information relating thereto; 
(b) may propose to the Commission, upon the basis of scientific investigations, recommendations for joint action by the Contrac ting Parties; 
(c) may recommend to the Commission studies and investigations n ecessary for obtaining information relating to its species, gro up of species, or 
geographic area, as well as the co-ordination of progra mmes of investigation by the Contracting Parties."  
Article VIII 
"1. (a) The Commission may, on the basis of scientific evidence, make recommendations designed to maintain the populations of t una and tuna-like fishes 
that may be taken in the Convention area at levels which will permit the maximum sustainable catch.  These recommendations shal l be applicable to the 
Contracting Parties under the conditions laid do wn in paragraphs 2 and 3 of this Article.… 
2. Each recommendation made under paragraph 1 of this Article sh all become effective for all Contracting Parties six months aft er the date of the 
notification from the Commission transmitting the recommendation to  the Contracting Parties, except as provided in paragraph 3 of this Article.... 
4. Any Contracting Party objecting to a recommendation may at any time withdraw that objection, and the recommendation shall be come effective with 
respect to such Contracting Party immediately if the recommendation is already in effect, or at su ch time as it may become effe ctive under the terms of this 
Article. 
5. The Commission shall notify each Contracti ng Party immediately upon receipt of each ob jection and of each withdrawal of an o bjection, and of the entry 
into force of any recommendation."  
Amendments and 
Protocols Article XIII:1 
"1. Any Contracting Party or the Commission may propose amendments to this Convention.  The Director-General of the FAO shall t ransmit a certified 
copy of the text of any proposed amendment to all the Contrac ting Parties.  Any amendment not involving new obligations shall t ake effect for all 
Contracting Parties on the thirtieth day af ter its acceptance by three-four ths of the Contracting Par ties.  Any am endment invol ving new obligations shall 
take effect for each Contracting Party accep ting the amendment on the ninetieth day af ter its acceptance by three-fourths of th e Contracting Parties and 
thereafter for each remaining Contracting Part y upon acceptance by it.  Any amendment considered by on e or more Contracting Par ties to involve new 
obligations shall be deemed to involve new obligations and shall take effect accordingly.  A government which becomes a Contrac ting Party after an 
amendment to this Convention has been opened for acceptance pursuant  to the provisions of this Ar ticle shall be bound by the Co nvention as amended when 
the said amendment comes into force".  
 
C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA  
Web site www.cites.org 
Objective Æ The CITES is an international treaty to regulate international trade in wildlife for conservation purposes.  The Convention is mainly about non-
endangered species that are in the international markets and that could become endangered without trade regulation.  It provide s a framework for the sound 
management of wildlife trade based on the best biological inform ation available, and analyses ho w different types of trade regu lations can affect specific 
populations.   
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 Page 13Æ CITES trade-related measures seek to ensure that trade is non- detrimental to wildlife species.  It also works to prevent harmfu l practices such as 
improper transport of wildlife specimens. 
Date of Signature Convention: 3 March 1973 
Bonn Amendment (on Aricle XI): 22 June 1979 Gaborone Amendment (on Aricle XXI): 30 April 1983 
Entry into force Convention: 1 July 1975 
Bonn Amendment (on Aricle XI): 13 April 1987 
Gaborone Amendment (on Article XXI): has not entered into force as of 19 September, 2006 
Parties Convention (1973):  169 Parties 
Bonn Amendment (1979):  135 Parties 
Gaborone Amendment (1983):  81 Parties 
WTO Members Convention (1973):  138 Parties to  CITES are also WTO Members. 
Bonn Amendment (1979):  110 Parties to this Amendment are also WTO Members. 
Gaborone Amendment (1983):  73 Parties to this Amendment are also WTO Members. 
Openness of 
Membership Article XXI – Accession  
"The present Convention shall be open inde finitely for accession.  Instruments of acce ssion shall be deposited with the Deposit ary Government". 
Æ The Gaborone Amendment, when it enters into force, will open the membership to regional economic integration organizations :  " This Convention shall 
be open for accession by regional economic integration organizatio ns constituted by sovereign States which have competence in r espect of the negotiation, 
conclusion and implementation of international agreements in matte rs transferred to them by thei r Member States and covered by this Convention...In the 
fields of their competence, regional economic  integration organizations shall exercise their right to vote with a number of vot es equal to the number of their 
Member States which are Parties to the Convention. Such organizations shall not exercise their right to vote if their Member St ates exercise theirs, and vice 
versa." 
Decision-Making 
Bodies Article XI:3 – Conference of the Parties  
"3. At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and ma y:   
(a) make such provision as may be necessary to enable the Secr etariat to carry out its duties, and adopt financial provisions;   
(b) consider and adopt amendments to Appendices  I and II in accordance with Article XV;   
(c) review the progress made towards the restoration and conservation of the species included in Appendices I, II and III;   
(d) receive and consider any reports presented by the Secretariat or by any Party;  and  
(e) where appropriate, make recommendations for impr oving the effectiveness of  the present Convention". 
Resolution Conf. 11.1 (Rev. CoP13)  – Establishment of Committees 
"[The CoP to the Convention] … Resolves that: 
a) there shall be a permanent Standing Comm ittee of the [CoP], which shall be the senior Committee, and shall report to the [Co P]; 
b) there shall be an Animals Co mmittee, a Plants Committee and a No menclature Committee, which shall report to the [CoP] at its  meetings and, if so 
requested, to the Standing Committ ee between meetings of the [CoP]; 
c) the [CoP] may appoint additional committees as the need arises; d) the [CoP] or the Standing Committee may appoint working groups with specific terms of reference as required to address speci fic problems.  These 
working groups shall have a defined life span which shall not ex ceed the period until the next meeting of the [CoP], at which t ime it may be renewed if 
necessary.  They shall report to the [CoP] and, if so requested, to the Standing Committee; …"  
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Page 14 Amendments and 
Protocols Article XVII – Amendment of the Convention  
"1. An extraordinary meeting of the [CoP] shall be convened by the Secretariat on the written requ est of at least one-third of the Parties to consider and 
adopt amendments to the present Convention.  Such amendments shall be adopted by a two-thirds majority of Parties present and v oting.  For these 
purposes "Parties present and voting" means Parties present and casting an affirmative or negative vote.  Parties abstaining fr om voting shall not be counted 
among the two-thirds required for adopting an amendment. 
2. The text of any proposed amendment shall be communicated by th e Secretariat to all Parties at least 90 days before the meeti ng. 
3. An amendment shall enter into force for the Parties which have  accepted it 60 days after two-thirds of the Parties have depo sited an instrument of 
acceptance of the amendment with the Depositary Government.  Ther eafter, the amendment shall ente r into force for any other Par ty 60 days after that Party 
deposits its instrument of acceptance of the amendment".  
Æ Resolution Conf. 4.27 on the Interpretation of Article XVII, paragraph 3, of the Convention provides that "the meaning of Article XVII, 
paragraph 3, of the Convention be interprete d in its narrow sense so as to mean that  the acceptance of two- thirds of the Partie s at the time of the adoption of 
an amendment is required for the comi ng into force of such amendment".  
 
 Article XV – Amendments  to Appendices I and II  
"1. The following provisions shall apply in relation to amendments to Appendices I and II at meetings of the [CoP]:   
(a) Any Party may propose an amendment to Appendix I or II for c onsideration at the next meeting.  The text of the proposed ame ndment shall be 
communicated to the Secretar iat at least 150 days before the meeting.  The Secretariat shall consult the other Parties and inte rested bodies on the 
amendment in accordance with the provisions of sub-paragraphs (b) and (c) of paragrap h 2 of this Article and shall communicate the response to all Parties 
not later than 30 days before the meeting.  
(b) Amendments shall be adopted by a two-thirds majority of Parties present and voting.  For these purposes "Parties present an d voting" means Parties 
present and casting an affirmative or negative vote.  Parties abstaining from voting shall not be counted among the two-thirds required for adopting an 
amendment.  
(c) Amendments adopted at a meeting shall enter into force 90 da ys after that meeting for all Parties except those which make a  reservation in accordance 
with paragraph 3 of this Article.  
2. The following provisions shall apply in relation to amendments to Appendices I and II between meetings of the [CoP]:   
(a) Any Party may propose an amendment to Appendix I or II for consideration between meetings by the postal procedures set fort h in this paragraph. … 
(f) If no objection to the proposed amendment is received by the Secr etariat within 30 days of th e date the replies and recomme ndations were communicated 
under the provisions of sub-paragraph (e) of this paragraph, the amendment shall enter into force 90 days later for all Parties  except those which make a 
reservation in accordance with paragraph 3 of this Article. 
(g) If an objection by any Party is received by the Secretariat, the proposed amendment shall be submitted to a postal vote in accordance with the provisions 
of sub-paragraphs (h) , (i) and (j) of this paragraph... 
(j) Provided that votes are received from one-half of the Parties,  the amendment shall be adopted by a two-thirds majority of P arties casting an affirmative 
or negative vote... 
(l) If the proposed amendment is adopted it shall enter into for ce 90 days after the date of the notification by the Secretaria t of its acceptance for all Parties 
except those which make a reservation in accordance with paragraph 3 of this Article.  
3. During the period of 90 days provided for by sub-paragraph (c) of paragraph 1 or sub-paragraph (l) of paragraph 2 of this Ar ticle any Party may by 
notification in writing to the Depositary Government make a rese rvation with respect to the amendment.  Until such reservation is withdrawn the Party shall 
be treated as a State not a Party to the present Conven tion with respect to trade in the species concerned".  
  
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 Page 15Article XVI – Appendix III and Amendments thereto  
1. Any Party may at any time submit to the Secretariat a list of  species which it identifies as being subject to regulation wit hin its jurisdiction for the purpose 
mentioned in paragraph 3 of Article II. Appendix III shall incl ude the names of the Parties submitting the species for inclusio n therein, the scientific names 
of the species so submitted, and any parts or derivatives of the animals or plants concerned that are specified in relation to the species for th e purposes of 
sub-paragraph (b) of Article I. 
2. Each list submitted under the provisions of paragraph 1 of th is Article shall be communicated to the Parties by the Secretar iat as soon as possible after 
receiving it. The list shall take effect as part of Appendix III 90 days after the da te of such communication. At any time afte r the communication of such list, 
any Party may by notification in writing to the Depositary Govern ment enter a reservation with respect to any species or any pa rts or derivatives, and until 
such reservation is withdrawn, the State sh all be treated as a State not a Party to the present Convention with respect to trad e in the species or part or 
derivative concerned. 
3. A Party which has submitted a species for inclusion in Appendix III may withdraw it at any time by notification to the Secre tariat which shall 
communicate the withdrawal to all Parties. The withdrawal shall take effect 30 days  after the date of such communication... 
Amendments 
adopted Bonn amendment – 22 June 1979 
Æ On 22 June 1979, the CoP to CITES adopted an amendment to Article XI, paragraph 3 a), consisting of inserting the words ", and  adopt financial 
provisions" at the end of the provision. 
Æ In accordance with Article XVII, paragraph 3, the Bonn amendment entered into force 60 days after 34 of the 50 States (two-thi rds) that were parties to 
CITES on 22 June 1979 deposited their instruments of acceptance, i.e. on 13 April 1987.  At that time it entered into force onl y for those States that had 
accepted the amendment (no matter on what date they became party to  the Convention).  However, the amended text of the Conventi on now applies 
automatically to any State that b ecomes a Party after the date of en try into force of the amendment. 
Gaborone amendment– 30 Ap ril 1983 (not yet in force) 
Æ On 30 April 1983, the Co P to CITES adopted in Gaborone, Botswana, an amendm ent to Article XXI of the Convention to permit acce ssion by regional 
economic integration organizations and especially to allow the EC to become a CITES party. 
Æ In accordance with Article XVII , paragraph 3, the Gaborone amendment shall enter into force 60 days after 54 of the 80 States that were party to CITES 
on 30 April 1983 have deposited their instruments of acceptance.  However, at th at time it will enter into  force only for those  States that have accepted the 
amendment.  The amended text of the Convention will apply automatically to any State that becomes a Party after the date of ent ry into force of the 
amendment.  For States that became party to the Convention before that date and ha ve not accepted the amendment, it will enter into force 60 days after 
they do accept it. 
 
D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES  
12. The Convention on the Conservation of Antarc tic Marine Living Resources (CCAMLR) is part of the Antarctic Treaty System, a set of arrangements 
made for the purpose of coordinating relations among states with r espect to Antarctica.  The Anta rctic Treaty came into force o n 23 June 1961, and it remains in 
force indefinitely.  The success of the treat y has been the growth in membership.  Forty-five countries, comprising 80% of the world's population, have acceded 
to it.  Consultative (voting) status is open to all countries w ho have demonstrated their commitment to the Antarctic by conduc ting significant research.  Twenty-
seven nations have Consultative status.  Th e Treaty parties meet every year.  They have adopted over 200 recommendations and ne gotiated five separate 
international agreements.  These, together with the original Treaty, provide the rul es which govern activities in Antarctica.  Collectively, they are known as the 
Antarctic Treaty System (ATS).  The fi ve international Agreements are:   
• Agreed Measures for the Conservation of Antarctic Fauna and Flora (1964)   
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Page 16 • Convention for the Conservation of Antarctic Seals (1972)  
• Convention on the Conservation of Anta rctic Marine Living Resources (1980)  
• Convention on the Regulation of Antarc tic Mineral Resource Activities (1988)  
• Protocol on Environmental Protection to the Antarctic Treaty (1991)  
13. The Preamble to CCAMLR recognises "the prime responsibility of th e Antarctic Treaty Consultative Parties for the protection and  preservation of the 
Antarctic environment and, in particular, their responsibilities under Article IX, paragraph 1(f) of the Antarctic Treaty in re spect of the preservation and 
conservation of living resources in Antarctica". 
Web site www.ccamlr.org 
Objective Æ The Convention is based on an ecosystem-wide approach to the co nservation of marine living resources in the waters surrounding Antarctica.  It 
incorporates standards designed to ensure the conservation of not only individual populations and species, but also the mainten ance of the breadth of the 
Antarctic marine ecosystem as a whole.  Conservation principles established by the Convention embody an "ecosystem approach" to  living resources 
conservation and set CCAMLR's marine resources management regime apart from other international fisheries organisations. Æ The Convention's Commission is responsible for the conservation of marine living resources in the Convention Area (waters south  of about 40°S), which 
include all species of fish, molluscs, crustaceans and other marine organisms as well as marine birds.  Rational use of resourc es is considered a part of their 
conservation.  Although management of seals and whales is under the jurisdiction of the Convention for the Conservation of Anta rctic Seals (CCAS) and the 
International Whaling Commission (IWC), CCAMLR takes into account,  in elaborating its conservation strategy, the status of thes e animals as an integral 
part of the Antarctic marine ecosystem. 
Date of Signature 20 May 1980 
Entry into force 7 April 1982 
Parties 34 Parties 
Æ States that have ratified the Convention, but are not Commission members:  Bulgaria, Canada, China (Peoples Republic of), Cook Islands, Finland, 
Greece, Mauritius, Peru, Vanu atu and The Netherlands. 
WTO Members 30 Parties to CCAMLR are also WTO Members. 
Openness of 
Membership Article XXIX 
"1. This Convention shall be open for accessi on by any State interested in research or harvesting activities in relation to the  marine living resources to which 
this Convention applies. 2. This Convention shall be open for accessi on by regional economic integration organisa tions constituted by sovereign States w hich include among their 
members one or more States Members of the Commission and to which the States members of the organi sation have transferred, in w hole or in part, 
competences with regard to the matters cove red by this Convention.  The accession of such regional economic  integration organis ations shall be the subject 
of consultations among Members of the Commission".  
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 Page 17Æ The main decision-making body is the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR).  The Commis sion has two 
standing committees:  The Standing Committee on Administration and Finance (SCAF) and the Standing Committee on Implementation and Compliance 
(SCIC).  All decisions on matters of substance are taken by co nsensus.  The institutional features of the Convention comprise, in addition to the 
Commission, a Scientific Committee for the Conservation of Antarcti c Marine Living Resources (SC-CAMLR) and a permanent Secreta riat, based in 
Hobart, Australia.  The Scientific Committee has two permanent wo rking groups, the Working Group on Ecosystem Monitoring and Ma nagement (WG-
EMM), the Working Group on Fish Stock Assessment (WG-FSA) and the Working Group on Assessment Methods (WG-SAM).  The Ad Hoc Wor king 
Group on Incidental Mortality Associated with Fisherie s (WG-IMAF) carries out its activities as part of WG-FSA.  
(1) Commission for the Conservation of  Antarctic Marine Living Resources  Decision-Making 
Bodies 
Article VII 
"1. The Contracting Parties hereby establish and agree to main tain the Commission for the Conservation of Antarctic Marine Livi ng Resources (hereinafter 
referred to as ‘the Commission’)". 
Article IX 
"1. The function of the Commission shall be to give effect to the objective and principles set out in Article II of this Conven tion.  To this end, it shall: … 
(e) identify conservation needs and analyse the effectiveness of conservation measures; 
(f) formulate, adopt and revise conservation measures on the basis of the best scien tific evidence available, subject to the pr ovisions of paragraph 5 of this 
Article; (g) implement the system of observation and inspection established under Article XXIV of this Convention; 
(h) carry out such other activities as are necessary to fulfil the objective of this Convention. 
2. The conservation measures referred to in paragraph 1(f) above include the following: 
(a) the designation of the quantity of any species which may be harvested in the area to which this Convention applies; 
(b) the designation of regions and sub-regions based on the distribution of populations of Antarctic marine living resources; 
(c) the designation of the quantity which may be harves ted from the populations of regions and sub-regions; 
(d) the designation of protected species; 
(e) the designation of the size, ag e and, as appropriate, sex of species which may be harvested; 
(f) the designation of open and closed seasons for harvesting; 
(g) the designation of the opening and closing of areas, regions or sub-regions for purposes of scientific study or conservatio n, including special areas for 
protection and scientific study; (h) regulation of the effort employed and methods of harvesting, including fishing gear, with a view, inter alia , to avoiding undue concentration of 
harvesting in any region or sub-region; 
(i) the taking of such other conservation measures as the Commi ssion considers necessary for the fulfilment of the objective of  this Convention, including 
measures concerning the effects of harvesting and associated ac tivities on components of the mari ne ecosystem other than the ha rvested populations. 
3. The Commission shall publish and maintain a r ecord of all conservation measures in force. 
4. In exercising its functions under pa ragraph 1 above, the Commission shall take fu ll account of the recommendations and advic e of the Scientific 
Committee.   
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Page 18 5. The Commission shall take full account of any relevant measur es or regulations established or recommended by the Consultativ e Meetings pursuant to 
Article IX of the Antarctic Treaty or by existing fisheries co mmissions responsible for species which may enter the area to whi ch this Convention applies, in 
order that there shall be no inconsistency between the rights and obligations of a Contracting Party under such regulations or measures and conservation 
measures which may be adopted by the Commission.  
6. Conservation measures adopted by the Commission in accordance with this Convention shall be implemented by Members of the Co mmission in the 
following manner: 
(a) the Commission shall notify conservation m easures to all Members of the Commission; 
(b) conservation measures shall become binding upon all Members of the Commission 180 days after such notification, except as p rovided in 
subparagraphs (c) and (d) below; (c) if a Member of the Commission, within ninety days followin g the notification specified in sub-paragraph (a), notifies the C ommission that it is unable 
to accept the conservation measure, in whole or in part, the measure shall not, to the extent stated, be binding upon that Memb er of the Commission; 
(d) in the event that any Member of the Commission invokes the procedure set forth in sub-paragraph (c) above, the Commission s hall meet at the request  
of any Member of the Commission to review the conservation measure.  At the time of such meeting and within thirty days followi ng the meeting, any 
Member of the Commission shall have the right  to declare that it is no lo nger able to accept the cons ervation measure, in which  case the Member shall no 
longer be bound by such a measure". 
Article XII 
"1. Decisions of the Commission on matters of substance shall be taken by consensus.  The question of whether a matter is one o f substance shall be treated 
as a matter of substance. 2. Decisions on matters other than those referred to in paragraph 1 above shall be taken by a simple majority of the Members of  the Commission present and 
voting".  
(2) Scientific Committee for the Conservatio n of Antarctic Marine Living Resources   
Article XIV 
"1. The Contracting Parties hereby establish the Scientific Co mmittee for the Conservation of Antarctic Marine Living Resources  (hereinafter referred to as 
‘the Scientific Committee’) which shall be a consultative body to the Commission …".  
Article XV 
"1. The Scientific Committee shall provide a forum for consultation and co-operation concerning the collection, study and excha nge of information with 
respect to the marine living resources to which this Convention applies.  It shall encourage and promote co-operation in the fi eld of scientific research in 
order to extend knowledge of the marine living resources of the Antarctic marine ecosystem. 
2. The Scientific Committee shall conduct such activities as the Commission may direct in pursuance of the objective of this Co nvention …".  
Amendments and 
Protocols Article XXX 
"1. This Convention may be amended at any time. 
2. If one-third of the Members of the Commission request a meeting to discuss a proposed amendment the Depositary shall call su ch a meeting. 
3. An amendment shall enter into  force when the Depositary has received instru ments of ratification, acceptance or approval the reof from all the Members 
of the Commission. 4. Such amendment shall thereafter enter in to force as to any other Contracting Part y when notice of ratif ication, acceptance o r approval by it has been 
received by the Depositary.  Any such Contra cting Party from which no such notice has been received within a period of one year  from the date of entry into 
force of the amendment in accordance with  paragraph 3 above shall be deemed to have withdrawn from this Convention".   
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 Page 19E. MONTREAL PROTOCOL ON SUBSTANCES THAT DEPLETE THE OZONE LAYER  
14. The Vienna Convention for the Protection of the Ozone Layer is a framework convention.  It did not itself establish controls on  ozone-depleting 
substances but rather, it established the procedural rules for futu re protocols to be developed under the framework of the  Con vention.  The Montreal Protocol on 
Substances that Deplete the Ozone Layer was adopted in 1987 and has been amended four times:  London Amendment (1990), Copenhag en Amendment (1992), 
Montreal Amendment (1997) and Beijing Amendment (1999).  Its cont rol provisions were strengthened through five adjustments to t he Protocol adopted in 
London (1990), Copenhagen (1992), Vienna ( 1995), Montreal (1997) and Beijing (1999). 
 Vienna Convention for the 
Protection of the Ozone Layer Montreal Protocol on Substances 
that Deplete the Ozone Layer London 
Amendment Copenhagen 
Amendment Montreal 
Amendment Beijing 
Amendment 
Date of Signature 22 March 1985 16 Se ptember 1987 29 June 1990 25 November  1992 17 September 1997 3 December 1999 
Entry into force 22 September 1988 1 January 1989 10 August 1992 14 June 1994 10 November 1999 25 February 2002 
Parties 191 191 184 175 149 119 
WTO Members 147 WTO Members 147 WTO Members 142 WTO Members 137 WTO Members 115 WTO 
Members 92 WTO Members 
 Vienna Convention for the Pr otection of the Ozone Layer Montreal Protocol on Substances  that Deplete the Ozone Layer, 
either adjusted and/or amended in London -1990, Copenhagen -1992, 
Vienna- 1995, Montreal -1997, and Beijing -1999 
Web site http://unep.org/ozone/, http://ozone.unep.org/i ndex.asp, http://www.unep.ch/ozone/index.asp 
Objective Æ Under the Vienna Convention, governments agreed to take appropriate 
measures to protect human health and the environment against adverse 
effects resulting or likely to result from human activities which modify or are 
likely to modify the ozone layer, and committed themselves to protect the 
ozone layer and to co-operate with each  other in scientific research and 
information exchange to improve understanding of atmospheric processes 
and technical and economic aspects.   Æ The Montreal Protocol develops a regi me that limits the release of ozone-
depleting substances (ODS) into the atmosphere. 
Entry into force 
(provision) Article 17:  Entry into force 
"1. This Convention shall enter into force on the ninetieth day after the date 
of deposit of the twentieth  instrument of ratificati on, acceptance, approval or 
accession. 
2. Any protocol, except as otherwise provided in such protocol, shall enter into force on the ninetieth day after the date of deposit of the eleventh 
instrument of ratification, acceptance or approval of su ch protocol or 
accession thereto. 3. For each Party which ratifies, accepts or approves this Convention or Article 16 – Entry into force  
"1. This Protocol shall enter into force on 1 January 1989, provided that at 
least eleven instruments of ratification,  acceptance, approval of the Protocol 
or accession thereto have been depos ited by States or regional economic 
integration organizations representing at  least two-thirds of 1986 estimated 
global consumption of the controlled substances, and the provisions of 
paragraph 1 of Article 17 of the Convention have been fulfilled.  In the event 
that these conditions have not been fulfilled by that date, the Protocol shall enter into force on the ninetieth day following the date on which the  
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Page 20 accedes thereto after the deposit of the twentieth instrument  of ratification, 
acceptance, approval or accession, it sha ll enter into force on the ninetieth 
day after the date of deposit by such Party of its instrument of ratification, acceptance, approval or accession. 
4. Any protocol, except as otherwise provided in such protocol, shall enter 
into force for a party that ratifies, accepts or approves that protocol or 
accedes thereto after its entry into fo rce pursuant to paragraph 2 above, on 
the ninetieth day after the date on which that party deposits its instrument of 
ratification, acceptance, approval or accession, or on the date which the 
Convention enters into force for that Party, whichever shall be the later. 
5. For the purposes of paragraphs 1 and 2 above, any instrument deposited 
by a regional economic integration organization shall not be counted as additional to those deposited by member States of such organization".  conditions have been fulfilled. … 
3. After the entry into force of this Pr otocol, any State or regional economic 
integration organization shall become a Party to it on the ninetieth day following the date of deposit of its instrument of ratification, acceptance, 
approval or accession". 
Article 17 – Parties joining after entry into force 
"Subject to Article 5, any State or regional economic integration organization 
which becomes a Party to this Protocol after the date of its entry into force, 
shall fulfil forthwith the sum of the obligations under Article 2, as well as under Articles 2A to 2I and Article 4, that apply at that date to the States and 
regional economic integration organizatio ns that became Parties on the date 
the Protocol entered into force".  
Openness of 
Membership Article 12 – Signature 
"This Convention shall be open for signature by States and by regional 
economic integration organizations..." 
Article 13 – Ratification, acceptance or approval 
"1. This Convention and any protocol shall be subject to ratification, 
acceptance or approval by States an d by regional economic integration 
organizations... 
2. Any organization referred to in paragraph 1 above which becomes a Party 
to this Convention or any protocol without any of its member States being a 
Party shall be bound by all the obligations under the Convention or the 
protocol, as the case may be. In the case of such organizations, one or more of whose member State is a Party to the Convention or relevant protocol, the 
organization and its member States shall decide on their respective 
responsibilities for the performance of their obligation under the Convention or protocol, as the case may be.  In such cases, the organization and the 
member States shall not be entitled to exercise rights under the Convention 
or relevant protoc ol concurrently...". 
Article 14 – Accession 
"1. This Convention and any protocol shall be open for a ccession by States 
and by regional economic integration organizations from the date on which the Convention or the protocol concerned is closed for signature …".  Montreal Protocol:  Article 15 – Signature 
"This Protocol shall be open for signature by States and by regional 
economic integration organizations …". 
Copenhagen Amendment (1992):  Article 2 – Relationship to the 
1990 Amendment 
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptanc e, approval or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Second MOP in London, 29 
June 1990."  
Montreal Amendment (1997):  Article 2 – Relationship to the 
1992 Amendment 
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptanc e, approval or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Fourth MOP in Copenhagen, 25 
November 1992." 
Beijing Amendment (1999):  Arti cle 2 – Relationship to the 
1997 Amendment  
"No State or regional economic integration organization may deposit an 
instrument of ratification, acceptan ce or approval of or accession to this 
Amendment unless it has previously, or simultaneously, deposited such an 
instrument to the Amendment adopted at the Ninth MOP in Montreal, 17 September 1997."  
Decision-Making 
Bodies Article 6  – Conference of the Parties 
"...4. The [COP] shall keep under continuous review the implementation of 
this Convention, and, in addition, shall: … 
(c) Promote, in accordance with article  2, the harmonizati on of appropriate Article 11 – Meetings of the Parties 
"...4. The functions of the meetings of the Parties shall be to: 
(a) review the implementation of this Protocol; 
(b) decide on any adjustments or reductions referred to in paragraph 9 of  
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 Page 21policies, strategies and measures for minimizing the release of substances 
causing or likely to cause modifica tion of the ozone layer, and make 
recommendations on any other measures relating to this Convention; (d) Adopt, in accordance with articles 3 and 4, programmes for research, 
systematic observations, scientific and technological co-operation, the 
exchange of information and the transfer of technology and knowledge;  (e) Consider and adopt, as required, in accordance with articles 9 and 10, 
amendments to this Convention and its annexes; 
(f) Consider amendments to any pr otocol, as well as to any annexes 
thereto, and, if so decided, recommend their adoption to the parties to the 
protocol concerned; 
(g) Consider and adopt, as required, in accordance with article 10, additional annexes to this Convention;  
(h) Consider and adopt, as requ ired, protocols in accordance with 
article 8; …" Article 2; 
(c) decide on any addition to, insertion in or removal from any annex of 
substances and on related control m easures in accordance with paragraph 
10 of Article 2; 
(d) establish, where necessary, guidelines or procedures for reporting of 
information as provided for in Article 7 and paragraph 3 of Article 9; (e) review requests for technical assistance submitted pursuant to 
paragraph 2 of Article 10; 
(f) review reports prepared by the secretariat pursuant to subparagraph (c) of Article 12; 
(g) assess, in accordance with Article 6, the control measures; 
(h) consider and adopt, as required, proposals for amendment of this Protocol or any annex and for any new annex; 
(i) consider and adopt the budget for implementing this Protocol;  and 
(j) consider and undertake any additional action that may be required for the achievement of the purposes of this Protocol".... 
Amendments and 
Protocols Article 8 – Adoption of protocols 
"1. The [COP] may at a meeting adopt protocols pursuant to Article 2. 
2. The text of any proposed protocol shall be communicated to the Parties by the secretariat at least six m onths before such a meeting". 
Article 9 – Amendment of the Convention or protocols 
"1. Any Party may propose amendments to this Convention or to any 
protocol.  Such amendments shall take due account, inter alia , of relevant 
scientific and technical considerations. 2. Amendments to this Convention shall be adopted at a meeting of the 
[COP].  Amendments to any protocol shall be adopted at a [MOP] to the 
protocol in question.  The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be provided in such 
protocol, shall be communicated to the Pa rties by the secretariat at least six 
months before the meeting at which it is proposed for adoption.  The secretariat shall also co mmunicate proposed amendm ents to the signatories 
to this Convention for information. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus.  If all efforts at consensus have 
been exhausted, and no agreement r eached, the amendment shall as a last 
resort be adopted by a three-fourths ma jority vote of the Parties present and 
voting at the meeting, and shall be submitted by the Depositary to all Parties 
for ratification, appr oval or acceptance. 
4. The procedure mentioned in paragraph 3 above shall apply to amendments to any protocol, except that a two-thirds majority of the parties to that 
protocol present and voting at the meeting shall suffice for their adoption. 
5. Ratification, approval or acceptance of amendments shall be notified to Article 14 – Relationship of this Protocol to the Convention 
"Except as otherwise provided in this Protocol, the provisions of the 
Convention relating to its protocols shall apply to this Protocol". 
Æ A party to the Protocol that has not ratified a subsequent amendment is 
treated as a non-Party for the purposes of trade in the relevant substances 
controlled by that particular amendment (Article 4(9) of the Protocol).  
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Page 22 the Depositary in writing.  Ame ndments adopted in accordance with 
paragraphs 3 or 4 above shall enter into force between parties having 
accepted them on the ninetieth day after the receipt by the Depositary of 
notification of their ratification, ap proval or acceptance by at least three-
fourths of the Parties to this Convention or by at least two-thirds of the 
parties to the protocol concerned, except as may otherwise be provided in such protocol.  Thereafter the amendm ents shall enter into force for any 
other Party on the ninetieth day after that Party deposits its instrument of 
ratification, approval or acceptance of the amendments. 
6. For the purposes of this article, "Parties present and voting" means Parties 
present and casting an affirmative or negative vote". 
Article 16 – Relationship between the Convention and its protocols 
"1. A State or a regional economic integration organization may not become 
a party to a protocol unless it is, or becomes at the same time, a Party to the 
Convention. 2. Decisions concerning any protocol shall be taken only by the parties to the 
protocol concerned". 
Æprocedures for amending annexes to the Convention are laid out in
Article 10.  
 
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL  
 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
Web site http://www.basel.int/ 
Objective Æ The objective of the Basel Convention is to protect human health and the environment against 
the adverse effects which may result from the generation and management of hazardous and other 
wastes. 
Æ The specific objectives of the Basel Convention are:   
• To reduce transboundary movements of hazardous wastes 
• To minimize the generation – in terms of quantity and hazardousness – of wastes 
• To promote the environmentally sound management of hazardous and other wastes 
Æ The Convention provides for the attainment of these objectives through control of the 
transboundary movements of hazardous wastes, monitoring and prevention of illegal traffic, 
assistance for the environmenta lly sound management of hazar dous wastes, promotion of 
cooperation between Parties in this field, a nd development of Technical Guidelines for the 
management of hazardous wastes. 
 Æ The objective of the Protocol is to provide for a 
comprehensive regime for liability as well as adequate 
and prompt compensation for damage resulting from the transboundary movement of hazardous wastes and 
other wastes and their disposal, including incidents 
occurring because of illegal traffic in those wastes. 
Æ Under the Protocol, actors involved in the 
transboundary movement and disposal of hazardous 
waste are strictly liable for damage caused regardless of the presence of fault and up to the financial limits 
established by the Protocol.  Fault-based liability is 
also regulated by the Protocol.  
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of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
Date of Adoption  22 March 1989  10 December 1999 
Entry into force 5 May 1992 Not in force. 
The Protocol will enter into force 90 days after  the 
date of the 20th instrument of ratification, acceptance, 
formal confirmation, approval or accession. 
Parties 169 7 
WTO Members 135 Parties to the Basel Convention are also WTO Members. 4 Parties to the Basel Protocol are also WTO Members. 
Openness of 
Membership Article 21  – Signature  
"This Convention shall be open for signature by  States ... and by pol itical and/or economic 
integration organizations...". 
Article 22 – Ratification, Acceptance, Formal Confirmation or Approval  
"1. This Convention shall be subject to ratificati on, acceptance or approval by States ... and to 
formal confirmation or approval by political and/or economic integration organizations. 
Instruments of ratification, accepta nce, formal confirmation, or ap proval shall be deposited with 
the Depositary. 
2. Any organization referred to in paragraph 1 above which becomes a Party to this Convention 
without any of its member States being a Party shall be bound by all the obligations under the 
Convention. In the case of such or ganizations, one or more of whose member States is a Party to 
the Convention, the organization and its member  States shall decide on their respective 
responsibilities for the performance of their obligations under the Convention. In such cases, 
the organization and the member States shall not be entitled to exercise rights under the 
Convention concurrently...". 
Article 23 – Accession  
"1. This Convention shall be open for accession  by States,,,and by po litical and/or economic 
integration organizations from the day after th e date on which the Convention is closed for 
signature …". Article 26 – Signature 
"The Protocol shall be open for signature by States and 
by regional economic integration organizations Parties 
to the Basel Convention …". 
Article 27 – Ratification, Acceptance, Formal 
Confirmation or Approval  
"1. The Protocol shall be subject to ratification, 
acceptance or approval by States and to formal 
confirmation or approval by regional economic 
integration organizations. Instruments of ratification, 
acceptance, formal confirmati on, or approval shall be 
deposited with the Depositary. 2. Any organization referred to in paragraph 1 of this 
Article which becomes a Contracting Party without any 
of its member States being a Contracting Party shall be bound by all the obligations under the Protocol. In the 
case of such organizations, one or more of whose 
member States is a Contracting Party, the organization and its member States shall decide on their respective 
responsibilities for the performance of their obligations 
under the Protocol. In such cases, the organization and the member States shall not be entitled to exercise 
rights under the Protocol concurrently...". 
Article 28 – Accession  
1. The Protocol shall be open for accession by any 
States and by any regional economic integration 
organization Party to the Basel Convention which has not signed the Protocol. Th e instruments of accession 
shall be deposited with the Depositary...".  
  
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of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
Decision-Making 
Bodies Article 15 – Conference of the Parties  
"...5. The COP shall keep under continuous review and evaluation the effective implementation of 
this Convention, and, in addition, shall: 
(a) Promote the harmonization of appropriate policies, strategies and measures for minimizing harm to human health and the environmen t by hazardous wastes and other wastes; 
(b) Consider and adopt, as required, amendments to this Convention and its annexes, taking 
into consideration, inter alia , available scientific, techni cal, economic and environmental 
information; 
(c) Consider and undertake any additional action that may be required for the achievement of 
the purposes of this Convention in the light of experience gained in its operation and in the operation of the agreements and arra ngements envisaged in Article 11; 
(d) Consider and adopt protocols as required;  and 
(e) Establish such subsidiary bodies as are d eemed necessary for the implementation of this 
Convention. ...  
7. The COP shall undertake three years after the entry into force of this Convention, and at least 
every six years thereafter, an eval uation of its effectiveness and, if  deemed necessary, to consider 
the adoption of a complete or partial ban of transboundary movements of hazardous wastes and 
other wastes in light of the latest scientific, environmental, technical and economic information".  
Æ The COP, the main decision-making organ, is co mposed of the representatives of the Parties. 
Æ The Expanded Bureau is a subsidiary body of the COP composed of 13 representatives of all 
the regions.  It meets between the meetings of th e COP to orientate the work  of the secretariat;  
provide advice for the preparation of meeting agendas; and address institutional and financial 
issues raised by the secretariat. 
Æ The Open-ended Working Group is a subsidiary body of the COP and its mandate is to assist 
the COP in the implementation of the Convention and consider and advise the COP on issues 
relating to policy, technical, scientific, legal, ins titutional, administrative, financial, budgetary and 
other aspects of the implementation of the Convention. 
Æ The Committee for Administrating the Mechanism for Promoting Implementation and 
Compliance (also referred to as “the Compliance Committee”) is a subsidia ry body of the COP 
and its mandate is to administer the said mechanis m established to assist Parties to comply with 
their obligations under the Convention and to facilitate, promote, monitor and aim to secure the 
implementation of, and compliance with, the obligations under the Convention.  Article 24 – Meeting of the Parties 
"4. The functions of the MOP shall be: 
(a) To review the implementation of and compliance 
with the Protocol; (b) To provide for reporting and establish guidelines 
and procedures for such re porting where necessary;   
(c) To consider and adopt, where necessary, proposals for amendment of the Protocol or any 
annexes and for any new annexes;  and 
(d) To consider and undertake any additional action that may be required for the purposes of the 
Protocol".  
Amendments and 
Protocols Article 12 – Consultations on Liability 
"The Parties shall co-operate with a view to ad opting, as soon as practicable, a protocol setting 
out appropriate rules and procedures in the field of liability and compensation for damage 
resulting from the transboundary movement and disposal of hazardous wastes and other wastes". 
 Article 22 – Relationship of the Protocol with the 
Basel Convention 
"Except as otherwise provided in the Protocol, the 
provisions of the Convention relating to its Protocols 
shall apply to the Protocol".   
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 Page 25 Basel Convention on the Contro l of Transboundary Movements  
of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
 Article 17 – Amendmen t of the Convention  
"1. Any Party may propose amendments to this Convention and any Party to a protocol may 
propose amendments to that protocol. Su ch amendments shall take due account, inter alia , of 
relevant scientific and technical considerations. 2. Amendments to this Convention shall be adopted at a meeting of the COP.  Amendments to 
any protocol shall be adopted at a MOP to the protocol in question.  The text of any proposed 
amendment to this Convention or to any protocol, except as may otherwise be provided in such protocol, shall be communicated to the Parties by the Secretariat at least six months before the 
meeting at which it is proposed for adoption.  The Secretariat shall also communicate proposed 
amendments to the Signatories to this Convention for information. 3. The Parties shall make ever y effort to reach agreement on any proposed amendment to this 
Convention by consensus.  If all efforts at consensus have been exhausted, and no agreement 
reached, the amendment shall as a last resort be adopted by a three-fourths majority of the Parties 
present and voting at the meeting, and shall be submitted by the Depositary to all Parties for 
ratification, approval, formal  confirmation or acceptance. 
4. The procedure mentioned in paragraph 3 above shall apply to amendments to any protocol, except that a two-thirds majority of the Parties to  that protocol present and voting at the meeting 
shall suffice for their adoption. 
5. … Amendments adopted in accordance with paragraphs 3 or 4 above shall enter into force 
between Parties having accepted them on the ninetie th day after the receipt by the Depositary of 
their instrument of ratification, approval, form al confirmation or acceptance by at least three-
fourths of the Parties who accepted them or by at least two-thirds of the Parties to the protocol 
concerned who accepted them, except as may othe rwise be provided in such protocol.  The 
amendments shall enter into force for any other Party on the ninetieth day after that Party deposits its instrument of ratification,  approval, formal confirmation or acceptance of the amendments. 
6. For the purpose of this Article, "Parties pr esent and voting" means Parties present and casting 
an affirmative or negative vote".  
Æ The Ban Amendment was adopted on 22 September 1995.  63 Parties have ratified the 
Amendment.  In accordance with Article 17 of th e Convention, the Amendment has to be ratified 
by three-quarters of those Parties who accepted it in order for it to enter into force.   
Æ The objective of this Amendment is to prohibit immediately exports from countries listed in 
Annex VII ("Parties and other States, which are me mbers of the OECD, EC, Liechtenstein") to all 
other countries, of hazardous wastes intended fo r final disposal, and to prohibit transboundary 
movements from Annex VII to non-Annex VII countries of hazardous wastes intended for 
recycling or reuse as of end 1997.  Annex VII is not yet in force, pending the entry into force of 
the Amendment. 
Æ The following amendments to technical annexes have been adopted by the COP: 
• Amendment to Annex I (adopted through Decision IV/9):  in order to make reference to   
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of Hazardous Wastes and their Disposal Basel Protocol on Liability and Compensation for 
Damage Resulting from Transboundary 
Movements of Hazardous Wa stes and their Disposal 
Annexes VIII and IX and establish the relationship between these new annexes and Annex III 
• Introduction of Annex VI II and IX:  Annex VIII includes wa stes characterized as hazardous 
under Article 1, paragraph 1(a) of the Basel Convention and Annex IX includes wastes that 
are not covered by Article 1, paragraph 1(a), unless they contain Annex I material to an extent causing them to exhibit an Annex III characteristic. 
• Amendment to Annex VIII and IX:  at its sixth meeting, the COP adopted an amendment to 
Annex VIII and IX in order to harmonize the annexes with other international lists and incorporate changes in accordance with  scientific and technical advances.  
• COP-7 adopted further amendments to Annex VIII and IX of the Basel Convention (Decision 
VII/19 added new wastes to be included in Annexes VIII and IX) .  
 
G. CONVENTION ON BIOLOGICAL DIVERSITY  
Web site http://www.biodiv.org 
Objective Æ The objective of the CBD is the conservation of biological diversity, the sustainable use of its components and the fair and eq uitable sharing of the 
benefits arising out of the utilization of genetic resources. 
Date of Signature 5 June 1992 
Entry into force 29 December 1993 
Parties 190 
WTO Members 145 Parties to the CBD are also WTO Members. 
Openness of 
Membership Article 33 – Signature 
"This Convention shall be open for signature … by all States and any regional economic integration organization…". 
Article 34 – Ratification, Acceptance or Approval 
"1. This Convention and any protocol shall be subject to ratification, acceptance or a pproval by States and by regional economi c integration 
organizations… 2.   Any organization referred to in paragraph 1 above which becomes a Contracting Party to this Convention or any protocol wit hout any of its member 
States being a Contracting Party shall be bound by all the obligations under the Convention or the protocol, as the case may be .  In the case of such 
organizations, one or more of whose member States is a Contracting Party to this Convention or relevant protocol, the organizat ion and its member States 
shall decide on their respective responsibilities for the performance of their obligations under the Convention or protocol, as  the case may be.  In such 
cases, the organization and the member States shall not be entitle d to exercise right under the Convention or relevant protocol  concurrently...". 
Article 35 – Accession 
"1.  This Convention and any protocol shall be open for accession by States and by regional economic integration organization.. .". 
  
  
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 Page 27Decision-Making 
Bodies Article 23 – Conference of the Parties 
"...4. The COP shall keep under review the implementation of this Convention, and, for this purpose, shall: 
(a) Establish the form and the intervals for transmitting the information to be submitted in accordance with Article 26 and con sider such information as 
well as reports submitted by any subsidiary body;   
(b) Review scientific, technical and technological advice on biological diversity provided in accordance with Article 25; 
(c) Consider and adopt, as required, protocols in accordance with Article 28; (d) Consider and adopt, as required, in accordance with Article s 29 and 30, amendments to this Convention and its annexes; 
(e) Consider amendments to any protocol, as well as to any annexes thereto, and, if so decided, recommend their adoption to the  parties to the protocol 
concerned; (f) Consider and adopt, as required, in accordance w ith Article 30, additional annexes to this Convention; 
(g) Establish such subsidiary bodies, particularly to provide sc ientific and technical advice, as  are deemed necessary for the implementation of this 
Convention; (h) Contact, through the Secretariat, the ex ecutive bodies of conventions dealing with matters covered by this Convention with a view to establishing 
appropriate forms of cooperation with them;  and  
(i) Consider and undertake any additional action that may be required for the achievement of the purposes of this Convention in  the light of experience 
gained in its operation.".... 
Æ The COP has established a number of working groups to address specific issues, such as the Working Group on Article 8(j) and Re lated Provisions of 
the Convention and the Working Group on Access to Genetic Resources and Benefit-Sharing. 
Article 25 –  Subsidiary Body on Scie ntific, Technical and Technological Advice 
"1. A subsidiary body for the provision of scientific, technical and technological advice is hereby established to provide the [COP] and, as appropriate, its 
other subsidiary bodies with timely advice relating to the implementation of this Convention.  This body shall be open to parti cipation by all Parties and 
shall be multidisciplinary.  It shall comprise government represen tatives competent in the relevant field of expertise.  It sha ll report regularly to the [COP] 
on all aspects of its work.  2. Under the authority of and in accordance with guidelines laid  down by the [COP], and upon its request, this body shall: 
(a) Provide scientific and technical assessments of the status of biological diversity; 
(b) Prepare scientific and technical assessments of the effects of types of measures taken in accordance with the provisions of  this Convention; 
(c) Identify innovative, efficient and state-of-the-art technologies and know-how relating to the conservation and sustainable use of biological diversity 
and advise on the ways and means of promoting development and/or transferring such technologies; 
(d) Provide advice on scientific programmes and international coop eration in research and development related to conservation a nd sustainable use of 
biological diversity;  and 
(e) Respond to scientific, technical, technological and methodological questions that the [COP] and its subsidiary bodies may p ut to the body".... 
 
 
  
 
     
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Protocols 
 Article 29 – Amendment of the Convention or Protocols 
"1. Amendments to this Convention may be proposed by any Contracting Party.  Amendments to any protocol may be proposed by any Party to that 
protocol.  2. Amendments to this Convention shall be adopted at a meeting of  the [COP].  Amendmen ts to any protocol shall be adopted at a [MOP] to the Protocol 
in question.  The text of any proposed amendment to this Convention or to any protocol, except as may otherwise be provided in such protocol, shall be 
communicated to the Parties to the instrument in question by the secretariat at least six months before the meeting at which it  is proposed for adoption.  
The secretariat shall also communicate proposed amendments to the signatories to this Convention for information.  
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention or to any protocol by co nsensus.  If all efforts at 
consensus have been exhausted, and no agreement reached, the ame ndment shall as a last resort be adopted by a two-third majorit y vote of the Parties to 
the instrument in question present and voting at the meeting, a nd shall be submitted by the Depositary to all Parties for ratif ication, acceptance or 
approval.   
4. Ratification, acceptance or appr oval of amendments shall be notified to the Depo sitary in writing.  Am endments adopted in ac cordance with 
paragraph 3 above shall enter into force among Parties having accepted them on the nine tieth day after the deposit of instrumen ts of ratification, 
acceptance or approval by at least two-thirds of the Contracting Parties to this Conven tion or of the Parties to the protocol c oncerned, except as may 
otherwise be provided in such protocol.  Thereafter the amendments shall enter into force for any other Party on the ninetieth day after that Party deposits 
its instrument of ratification, accepta nce or approval of the amendments.  
5. For the purposes of this Article, "Parties present and voti ng" means Parties present and cas ting an affirmative or negative vote". 
Æ See also Article 23:4(d) on the COP in the Section on Decision-Making Bodies above. 
 
(2) Protocols 
 Article 28 – Adoption of Protocols 
"1. The Contracting Parties shall cooperate in the formulation and adoption of protocols to this Convention.  
2. Protocols shall be adopted at a meeting of the [COP].  
3. The text of any proposed protocol shall be communicated to the Contracting Parties by the Secretariat at least six months be fore such a meeting."   
Æ The COP adopted the Cartagena Protocol on Biosafety on 29 January 2000.  The Protocol entered into force on 11 September 2003. 
Article 32 – Relationship between this Convention and Its Protocols 
"1. A State or a regional economic integration organization may not become a Party to a protocol unless it is, or becomes at th e same time, a Contracting 
Party to this Convention.  2. Decisions under any protocol shall be taken only by the Parties to the protocol concerned.  Any Contracting Party that has n ot ratified, accepted or 
approved a protocol may participate as an observer in any MOP to that protocol". 
Æ See Cartegena Protocol on Biosafety below. 
H. CARTAGENA PROTOCOL ON BIOSAFETY  
Web site http://www.biodiv.org/biosafety/ 
Objective Æ The objective of the Biosafety Protocol is to ensure an adequate level of protection in the field of safe transfer, handling an d use of Living Modified 
Organisms (LMOs) that may have adverse effects on the conservation and sustainable use of biological diversity, also taking int o account risks to human 
health.  
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 Page 29Date of Adoption 29 January 2000 
Entry into force 11 September 2003 
Parties 137 
WTO Members 109 Parties to the Biosafety Protocol are also WTO Members. 
Openness of 
Membership Article 36 – Signature 
"This Protocol shall be open for signature … by States and regional economic integration organizations …". 
Article 32:1of the Convention on Biological Diversity – Relationship between this Convention and Its Protocols 
"1. A State or a regional economic integration organization may not become a Party to a protocol unless it is, or becomes at th e same time, a Contracting 
Party to this Convention".  
Decision-Making 
Bodies Article 29 – Conference of the Parties Serving as the Meeting of the Parties to this Protocol 
"1. The [COP] shall serve as the [MOP] to this Protocol. 
2. Parties to the Convention that  are not Parties to this Protocol may participat e as observers in the pr oceedings of any meeti ng of the [COP] serving as the 
[MOP] to this Protocol.  When the [COP] serves as the [MOP] to this Protocol, decisions under this Protocol shall be taken only  by those that are Parties 
to it. 3. When the [COP] serves as the [MOP] to this Protocol, any me mber of the bureau of the [COP ] representing a Party to the Conve ntion but, at that time, 
not a Party to this Protocol, shall be substituted by a member to be elected by and from among the Parties to this Protocol. 
4. The [COP] serving as the [MOP] to this Protocol shall keep under regular review the implementation of this Protocol and shal l make, within its 
mandate, the decisions necessary to promote its effective implementation.  It shall pe rform the functions assigned to it by thi s Protocol and shall: 
(a) Make recommendations on any matters necessary for the implementation of this Protocol;   
(b) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;   
(c) Seek and utilize, where appropriate, th e services and cooperation of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;   (d) Establish the form and the intervals for transmitting the in formation to be submitted in accordance with Article 33 of this  Protocol and consider such 
information as well as reports submitted by any subsidiary body;   
(e) Consider and adopt, as required, amendments to this Protocol  and its annexes, as well as any additional annexes to this Pro tocol, that are deemed 
necessary for the implementation of this Protocol;  and 
(f) Exercise such other functions as may be required for the implementation of this Protocol. 
5. The rules of procedure of the Conference of the Partie s and financial rules of the Convention shall be applied, mutatis mutandis , under this Protocol, 
except as may be otherwise decided by consensus by the [COP] serving as the [MOP] to this Protocol." 
Article 30 – Subsidiary Bodies 
"1. Any subsidiary body established by or under the Convention may, upon a decision by the [COP] serving as the [MOP] to this P rotocol, serve the 
Protocol, in which case the [MOP] shall specify  which functions that body shall exercise. 
2. Parties to the Convention that  are not Parties to this Protoc ol may participate as observers in the proceedings of any meeti ng of any such subsidiary 
bodies.  When a subsidiary body of the Convention serves as a subsidiary body to this Protocol, decisions under the Protocol sh all be taken only by the 
Parties to the Protocol. 
3. When a subsidiary body of the Convention exercises its functions  with regard to matters concerning this Protocol, any member  of the bureau of that 
subsidiary body representing a Party to the Convention but, at that time, not a Party to the Protocol, shall be substituted by a member to be elected by and 
from among the Parties to the Protocol". 
Æ COP-MOP 3 considered the issue of subsidiary bodies and adopted Decision BS-III/13, by which COP-MOP decided to consider, at i ts fourth meeting, 
potential mechanisms to provide scientific and technical advice to the [COP-MOP], including, inter alia , the potential designation or establishment of a 
permanent subsidiary body, or use of subsidiary bodies or mechanisms that may be created on an ad hoc  basis, and requested the Executive Secretary to  
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Page 30 prepare a pre-sessional paper for that meeting which includes:  
(a) A review of the findings of the Ad Hoc Open-Ended Working Group on Review of Implementation of the Convention, and any asso ciated decisions by 
the 8th COP, concerning the review of the impacts and effectiveness of existing processes under the Convention; and  
(b) Cost estimates for various potential mechanisms fo r the provision of scientif ic and technical advice. 
Amendments and 
Protocols Article 32 – Relationship with the Convention 
"Except as otherwise provided in this Protocol, the provisions of the Convention relating to its protocols shall apply to this Protocol". 
Æ See also Article 29:4(e) on [COP-MOP] to this Protocol in the Section on Decision-making Bodies above. 
Æ Article 29 of the CBD (Amendment of the Convention or Protocols) will also apply to the Protocol. 
 
I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
Web site http://unfccc.int/ 
Objective Æ The objective of the UNFCCC is the stabilization of greenhouse gas concentrations in the atmosphere at a level that would prev ent dangerous 
anthropogenic interference with the climate system. 
Date of Signature 9 May 1992 
Entry into force 21 March 1994 
Parties 189 
WTO Members 146 Parties to UNFCCC are also WTO Members. 
Openness of 
Membership Article 20 – Signature 
"This Convention shall be open for signature by  States Members of the United Nations or of any of its specia lized agencies or t hat are Parties to the 
Statute of the ICJ and by regional economic integration organizations…". 
Decision-Making 
Bodies Article 7 – Conference of the Parties 
"2. The [COP], as the supreme body of this Convention, shall keep under regular review the implementation of the Convention and  any related legal 
instruments that the [COP] may adopt, and sh all make, within its mandate, the decisions  necessary to promote the effective impl ementation of the 
Convention.  To this end, it shall: 
(a) Periodically examine the obligations of the Parties and the institutional arrangements under the Convention, in the light o f the objective of the 
Convention, the experience gained in its implementation and the evolution of scientific and technological knowledge; 
(b) Promote and facilitate the exchange of information on measures  adopted by the Parties to address climate change and its eff ects, taking into account 
the differing circumstances, responsibilities and capabilities of the Parties and their respective commitments under the Conven tion; 
(c) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking into 
account the differing circumstances, respons ibilities and capabilities of the Parties an d their respective commitments under th e Convention; 
(d) Promote and guide, in accordance with the objective and provisions of the Convention, the development and periodic refineme nt of comparable 
methodologies, to be agreed on by the [COP], inter alia , for preparing inventories of greenhouse gas emissions by sources and removals by sinks, and 
for evaluating the effectiveness of measures to limit th e emissions and enhance the removals of these gases; 
(e) Assess, on the basis of all information made available to it in accordance with the provisions of the Convention, the imple mentation of the 
Convention by the Parties, the overall effects of the measures take n pursuant to the Convention, in particular environmental, e conomic and social effects 
as well as their cumulative impacts and the extent to which progress towards the objective of the Convention is being achieved;   
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 Page 31(f) Consider and adopt regular reports on the implementation of the Convention and ensure their publication;   
(g) Make recommendations on any matters necessary for the implementation of the Convention; 
(h) Seek to mobilize financial resources in accordance with Article 4, paragraphs 3, 4 and 5, and Article 11; (i) Establish such subsidiary bodies as are deemed necessary for the implementation of the Convention; 
(j) Review reports submitted by its subsidiary bodies and provide guidance to them; 
(k) Agree upon and adopt, by consensus, rules of procedure and financial rules for itself and for any subsidiary bodies; 
(l) Seek and utilize, where appropriate, the services and coope ration of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and  
 (m) Exercise such other functions as are required for the achi evement of the objectiv e of the Convention as well as all other f unctions assigned to it under 
the Convention".  
Article 9 – Subsidiary Body for Scientific and Technological Advice 
"1. A subsidiary body for scientific and technological advice is hereby established to provide th e [COP] and, as appropriate, i ts other subsidiary bodies 
with timely information and advice on scientific and technological  matters relating to the Convention.  This body shall be open  to participation by all 
Parties and shall be multidisciplinary.  It shall comprise govern ment representatives competent in the relevant field of expert ise.  It shall report regularly to 
the [COP] on all aspects of its work".... 
Article 10 – Subsidiary Body for Implementation 
"1. A subsidiary body for implementation is hereby established to  assist the [COP] in the assessm ent and review of the effectiv e implementation of the 
Convention.  This body shall be open to participation by all Pa rties and comprise government representatives who are experts on  matters related to climate 
change.  It shall report regularly to the [COP] on all aspects of its work. 
2. Under the guidance of the [COP], this body shall: 
(a) Consider the information communicated in  accordance with Article 12, paragraph 1, to assess the overall aggregated effect o f the steps taken by the 
Parties in the light of the latest scientific assessments concerning climate change; 
(b) Consider the information comm unicated in accordance with Article 12, paragraph 2, in order to assist the [COP] in carrying out the reviews required 
by Article 4, paragraph 2(d);  and 
(c) Assist the [COP], as appropriate, in the preparation and implementation of its decisions".  
Amendments and  (1) Amendments 
Protocols 
 Article 15 – Amendments  to the Convention 
"1. Any Party may propose amendments to the Convention. 
2. Amendments to the Convention shall be adopted at an ordinary session of the [COP].  The text of any proposed amendment to th e Convention shall be 
communicated to the Parties by th e secretariat at least six months before the m eeting at which it is proposed for adoption.  Th e secretariat shall also 
communicate proposed amendments to the signatories to the Convention and, for information, to the Depositary. 
3. The Parties shall make every effort to reach agreement on an y proposed amendment to the Convention by consensus.  If all eff orts at consensus have been 
exhausted, and no agreement reached, the amen dment shall as a last resort be adopted by a three-fourths majority vote of the Pa rties present and voting at the 
meeting.  The adopted amendment shall be communicated by the secr etariat to the Depositary, who shall circulate it to all Parti es for their acceptance. 4. 
Instruments of acceptance in respect of an amendment shall be de posited with the Depositary.  An  amendment adopted in accordanc e with paragraph 3 
above shall enter into force for those Part ies having accepted it on the ninetieth day after the date of receipt by the Deposit ary of an instrument of 
acceptance by at least three fourths of the Parties to the Convention. 
5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its 
instrument of acceptance of the said amendment …". 
 
 
  
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Page 32  (2) Protocols  
 Article 17 – Protocols 
"1. The [COP] may, at any ordinary session, adopt protocols to the Convention. 
2. The text of any proposed protocol shall be communicated to the Parties by the secretariat at least six months before such a session. 
3. The requirements for the entry into force of any protocol shall be established by that instrument. 
4. Only Parties to the Convention may be Parties to a protocol.  
 5. Decisions under any protocol shall be taken only by the Parties to the protocol concerned". 
Æ See Kyoto Protocol below.  
J. KYOTO PROTOCOL  
Web site http://unfccc.int/ 
Objective Æ The Kyoto Protocol supplements and strengthens the UNFCCC.  The Kyoto Protocol is based on the general framework established by  the UNFCCC, 
and shares its ultimate objective and principles, as well as its grouping of countries into Annex I, Annex II (the OECD members  of Annex I), and non-
Annex I Parties.  This is a step towards achieving the objective of the Convention by reducing emissions from Annex I Parties.  
Date of Signature 11 December 1997 
Entry into force 16 February 2005 
Parties 164 (The total percentage of Annex I Parties emissions is 61.6% of emissions) 
WTO Members 132 Parties to the Kyoto Protocol are also WTO Members. 
Openness of 
Membership Article 24 
"1. This Protocol shall be open for signature and subject to ratification, acceptance or approval by States and regional econom ic integration organizations 
which are Parties to the Convention…". 
Decision-Making 
Bodies 
 Æ The Kyoto Protocol will share the Convention’s institutions, includi ng its two subsidiary bodies and secretariat, while the Con vention’s COP will serve 
as the meeting of the Parties ("MOP")  to the Protocol, forming a body known as the COP/MOP. 
Article 13 
"1. The [COP], the supreme body of the Convention, shall serve as the [MOP] to this Protocol.  
2. Parties to the Conventio n that are not Parties to this Pr otocol may participate as observer s in the proceedings of any sessi on of the [COP] serving as the 
[MOP] to this Protocol.  When the [COP] serves as the MOP to this Protocol, decisions under this Protocol shall be taken only b y those that are Parties to 
this Protocol.  
3. When the [COP] serves as the MOP to this Protocol, any memb er of the Bureau of the COP re presenting a Party to the Conventio n but, at that time, not 
a Party to this Protocol, shall be replaced by an additional memb er to be elected by and from amongst the Parties to this Proto col.  
4. The [COP] serving as the [MOP] to this Protocol shall keep under regular review the implementation of this Protocol and shal l make, within its 
mandate, the decisions necessary to promote its effective implementation.  It shall pe rform the functions assigned to it by thi s Protocol and shall:   
(a) Assess, on the basis of all information made available to it in accordance with the provisions  of this Protocol, the implem entation of this Protocol by 
the Parties, the overall effects of the measures taken pursuant to this Protocol, in particular environmental, economic and soc ial effects as well as their 
cumulative impacts and the extent to which progress towards the objective of the Convention is being achieved;   (b) Periodically examine the obligations of the Parties under th is Protocol, giving due consideration to any reviews required b y Article 4, paragraph 
2(d), and Article 7, paragraph 2, of the Convention, in the light of the objective of the Convention, the experience gained in its implementation and the  
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(c) Promote and facilitate the exchange of information on measures  adopted by the Parties to address climate change and its eff ects, taking into account 
the differing circumstances, responsibilities and capabilities of the Parties and their respective commitments under this Proto col;   
(d) Facilitate, at the request of two or more Parties, the coordi nation of measures adopted by them to address climate change a nd its effects, taking into 
account the differing circumstances, respons ibilities and capabilities of the Parties an d their respective commitments under th is Protocol;   
(e) Promote and guide, in accordance with the objective of the Convention and the provisions of this Protocol, and taking fully  into account the relevant 
decisions by the [COP], the development and periodic refinement of comparable methodologies for the effective implementation of  this Protocol, to be 
agreed on by the [COP] serving as the [MOP] to this Protocol;   
(f) Make recommendations on any matters necessary for the implementation of this Protocol;   (g) Seek to mobilize additional financial resources in accordance with Article 11, paragraph 2;   
(h) Establish such subsidiary bodies as are deemed necessary for the implementation of this Protocol;   
(i) Seek and utilize, where appropriate, th e services and cooperation of, and information provided by, competent international organizations and 
intergovernmental and non-governmental bodies;  and  
(j) Exercise such other functions as may be required for the implementation of this Protocol, and consider any assignment resul ting from a decision by 
the [COP]". 
Amendments and 
Protocols Article 20  
"1. Any Party may propose amendments to this Protocol.  
2. Amendments to this Protocol shall be adopted at an ordinary session of the [COP] serving as the [MOP] to this Protocol.  The  text of any proposed 
amendment to this Protocol shall be communicated to the Parties by the secretariat at least six months before the meeting at wh ich it is proposed for 
adoption.  The secretariat shall also communicate the text of any proposed amendm ents to the Parties and signatories to the Con vention and, for 
information, to the Depositary.   
3. The Parties shall make every effort to reach agreement on any proposed amendment to  this Protocol by consensus.  If all effo rts at consensus have been 
exhausted, and no agreement reached, the ame ndment shall as a last resort be adopted by a three-fourths majo rity vote of the Pa rties present and voting at 
the meeting.  The adopted amendment shall be communicated by the secretariat to the Depositary, who shall circulate it to all P arties for their acceptance.   
4. Instruments of acceptance in respect of an  amendment shall be deposited with the De positary.  An amendment adopted in accord ance with paragraph 3 
above shall enter into force for those Part ies having accepted it on the ninetieth day after the date of receipt by the Deposit ary of an instrument of 
acceptance by at least three fourths of  the Parties to this Protocol.  
5. The amendment shall enter into force for any other Party on the ninetieth day after the date on which that Party deposits wi th the Depositary its 
instrument of acceptance of the said amendment".  
 
K. INTERNATIONAL TROPICAL TIMBER AGREEMENT  
The International Tropical Timber Agreement (ITTA), 1994 is th e Successor Agreement to the International Tropical Timber Agreem ent, 1983.   
 
Web site www.itto.or.jp 
Objective Æ ITTA, 1994 seeks to promote international trade in tropical timb er, the sustainable management of tropical forests, and the dev elopment of tropical 
forest industries through international cooperation, policy work and project activities, as provided for in objectives (a) to ( i) of Article 1. 
Date of Signature 1 April 1994  
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Article 46 – Duration, extension and termination  
"1. This Agreement shall remain in force for a period of four y ears after its entry into force unless the Council, by special v ote, decides to extend, 
renegotiate or terminate it in accordance w ith the provisions of this article.  
2. The Council may, by special vote, decide to extend  this Agreement for two peri ods of three years each.  
3. If, before the expiry of the four-year period referred to in paragraph 1 of this article, or before the expiry of an extensi on period referred to in paragraph 
2 of this article, as the case may be, a new agreement to repl ace this Agreement has been negotiated but has not yet entered in to force either definitively or 
provisionally, the Council may, by special vote, extend this Ag reement until the provisional or definitive entry into force of the new agreement.  
4. If a new agreement is negotiated and enters into force during  any period of extension of this Agreement under paragraph 2 or  paragraph 3 of this article, 
this Agreement, as extended, shall terminate upon  the entry into force of  the new agreement.  
5. The Council may at any time, by special vote, decide to terminate this Agreement w ith effect from such date as it may determ ine …".  
Æ In 2000, the ITTA, 1994 was extended for a period of three years [Decisi on 4(XXVIII)] until 31  December 2003.  On 4 November 2 002, the ITTA, 
1994 was extended for a further period of th ree years with effect from 1 January 2004  to 31 December 2006  [Decision 9(XXXIII)].    
Æ Negotiations for a successor to ITTA, 1994 were concluded in 2006. The ITTA, 2006 is expected to come into force in 2008.  On 11 November 2006, 
the ITTA, 1994 was further extended until the provisional or de finitive entry into force of th e ITTA, 2006 [Decision 3(XLI)].   
Parties 59 Members including 33 producing and 26 consuming countries, including the European Community, bearing in mind that Belgium/Lu xembourg are 
considered as one Party to the ITTA. 
WTO Members 57 Parties to ITTA are also WTO Members, bearing in mind that  Belgium/Luxembourg are considered as one Party to the ITTA. 
Openness of 
Membership Article 38 – Signature, ratification, acceptance and approval  
"1. This Agreement shall be open for signature...by Governments invited to the UN Conference for the Negotiation of a Successor  Agreement to the 
International Tropical Timb er Agreement, 1983...".  
Article 39 – Accession  
"1. This Agreement shall be open for accession by the Governments of all states upon co nditions established by  the Council, whi ch shall include a time-
limit for the deposit of instruments of accessi on.  The Council may, howev er, grant extensions of tim e to Governments which are  unable to accede by the 
time-limit set in the conditions of accession...".  
(1) The International Tropical Timber Council (ITTC) Decision-Making 
Bodies Article 6 – Composition of the ITTC  
"1. The highest authority of the Organization shall be the ITTC, which shall consist of all the members of the Organization.  
2. Each member shall be represented in th e Council by one representativ e and may designate alternates and advisers to attend se ssions of the Council.  
3. An alternate representative shall be empowered to act and vot e on behalf of the representa tive during the latter's absence o r in special circumstances".  
Article 7 – Powers and functions of the Council  
"1. The Council shall exercise all such powers and perform or arrange for the performance of all such functions as are necessar y to carry out the 
provisions of this Agreement.   
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therewith, including its own rules of procedure and the financial rules and staff regulations of the Organization.  Such financ ial rules regulations shall, 
inter alia , govern the receipt and expenditure of fu nds under the Administrative Account, the Special Accoun t and the Bali Partnership Fu nd.  The Council 
may, in its rules of procedure, provide for a procedure wh ereby it may, without meeting,  decide specific questions.  
3. The Council shall keep such records as are required for the performance of its functions under this Agreement". 
Article 12 – Decisions and r ecommendations of the Council 
"1. The Council shall endeavour to take all decisions and to make all recommendations by consensus.  If consensus cannot be rea ched, the Council shall 
take all decisions and make all recommendations by a simple dist ributed majority vote, unless this Agreement provides for a spe cial vote.  
2. Where a member avails itself of the provisions of article 11,  paragraph 2, and its votes are cast at a meeting of the Counci l, such member shall, for the 
purposes of paragraph 1 of this article, be considered as present and voting". 
Article 32 – General obligations of members  
"1. Members shall, for the duration of this  Agreement, use their best endeavours and cooperate to promote the attainment of its  objectives and to avoid any 
action contrary thereto.  
 2. Members undertake to accept and carry out the decisions of the Council under the provisions of this Agreement and shall refr ain from implementing 
measures which would have the effect of limiting or running counter to them".  
(2) Committees  
Article 26 – Establishment of Committees 
"1. The following are hereby established as Committees of the Organization: 
(a) Committee on Economic Information and Market Intelligence 
(b) Committee on Reforestation and Forest Management (c) Committee on Forest Industry;  and  
(d) Committee on Finance and Administration 
2. The Council may, by special vote, establish such other commi ttees and subsidiary bodies as it deems appropriate and necessar y. 
3. Participation in each of the committees shall be open to all members.  The rules of procedur e of the committees shall be dec ided by the Council. 
4. The committees and subsidiary bodies referred to in paragraphs 1 and 2 of this article shall be responsible to, and work und er the general direction of, 
the Council.  Meetings of the committees and subsidiary bodies shall be convened by the Council." 
Article 27 – Functions of the Committees 
1. The Committee on Economic Information and Market Intelligence shall:   
(a) Keep under review the availability and quality of statisti cs and other information required by the Organization;   
(b) Analyze the statistical data and specific indicators as decided by the Council for the monitoring of international timber t rade;   
(c) Keep under continuous review the international timber mark et, its current situation and short-term prospects on the basis o f the data mentioned in 
sub-paragraph (b) above and other relevant information, including information related to undocumented trade;   (d) Make recommendations to the Council on the need for, and nature of, appropriate studies on tropical timber, including price s, market elasticity, 
market substitutability, marketing of new products, and long-term prospects of the international tropical timber market, and mo nitor and review any 
studies commissioned by the Council;   (e) Carry out any other tasks related to the economic, technical and statistical aspects of timber assigned to it by the Counci l;   
(f) Assist in the provision of technical cooperation to developing  member countries to improve their relevant statistical servi ces.  
  
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 2. The Committee on Reforestation and Forest Management shall:   
(a) Promote cooperation between members as partners in development of forest activities in member countries, inter alia , in the following areas:   
(i) Reforestation;   (ii) Rehabilitation;   
(iii) Forest management;   
(b) Encourage the increase of technical assist ance and transfer of technolo gy in the fields of reforestation and forest managem ent to developing 
countries;   
(c) Follow up on-going activities in this field, and identify and consider problems and possible solutions to them in cooperati on with the competent 
organizations;   (d) Review regularly the future needs of international trade in in dustrial tropical timber and, on this basis, identify and con sider appropriate possible 
schemes and measures in the field of reforestation, rehabilitation and forest management;   
(e) Facilitate the transfer of knowledge in the field of reforest ation and forest management with the assistance of competent o rganizations;   
(f) Co-ordinate and harmonize these activities for cooperation in the field of reforestation and fore st management with relevan t activities pursued 
elsewhere, such as those under the auspices of the Food and Agricultural Organization (FAO), the United Nations Environmental P rogramme (UNEP), 
the World Bank, the United Nations Development Programme (UNDP) , regional development banks and other competent organizations.  
3. The Committee on Forest Industry shall:   
(a) Promote cooperation between me mber countries as partners in the developmen t of processing activities in producing member co untries, inter alia , in 
the following areas:   
(i) Product development through transfer of technology;   
(ii) Human resources development and training;   
(iii) Standardization of nomenclature of tropical timber;   
(iv) Harmonization of specifications of processed products;   
(v) Encouragement of investment and joint ventures;  and  (vi) Marketing including the promotion of lesser known and lesser used species;   
(b) Promote the exchange of information in order to facilitate st ructural changes involved in increased and further processing in the interests of all 
member countries, in particular developing member countries;   (c) Follow up on-going activities in this field, and identify and consider problems and possible solutions to them in cooperati on with the competent 
organizations;   
(d) Encourage the increase of technical coope ration for the processing of tropical timb er for the benefit of producing member c ountries.   
4. In order to promote the policy and project work of the Organization in a balanced manner the Committee on Economic Informati on and Market 
Intelligence, the Committee on Reforestation and Forest Management and the Committee on Forest Industry shall each:   
(a) Be responsible for ensuring the ef fective appraisal, monitori ng and evaluation of pre-projects and projects;   
(b) Make recommendations to the Council relating to pre-projects and projects;   
(c) Follow up the implementation of pre-projects and projects and provide for the collection and dissemination of their results  as widely as possible for 
the benefit of all members;   (d) Develop and advance policy ideas to the Council;   
(e) Review regularly the results of project and policy work and make recommendations to the Council on the future of the Organi zation's programme;   
(f) Review regularly the strategies, criteria and priority areas for programme development and project work contained in the Or ganization's Action Plan 
and recommend revisions to the Council;   
(g) Take account of the need to strength en capacity building and human resource development in member countries;   
(h) Carry out any other task related to the objectives of this Agreement assigned to them by the Council.  
 5. Research and development shall be a common function of the Commi ttees referred to in paragraphs 1, 2, and 3 of this article. ..".  
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Protocols Article 42 – Amendments  
"1. The Council may, by special vote, recommend an  amendment of this Agreement to members.  
2. The Council shall fix a date by which members shall noti fy the depositary of their acc eptance of the amendment.  
3. An amendment shall enter into  force 90 days after the depositary has receive d notifications of acceptance from members const ituting at least two thirds 
of the producing members and accounting for at least 75 per cent of the votes of the producing members, and from members consti tuting at least two 
thirds of the consuming members and accounting for at least 75 per cent of the votes of the consuming members.  4. After the depositary informs the Council that the requirements for entry into force of the amendment have been met, and notw ithstanding the provisions 
of paragraph 2 of this article relating to the date fixed by the Council, a member may still no tify the depositary of its accep tance of the amendment, 
provided that such notification is made before the entry into force of the amendment.  5. Any member which has not notified its acceptance of an amendmen t by the date on which such ame ndment enters into force shall  cease to be a party to 
this Agreement as from that date, unless such member has satisfied the Council that  its acceptance could not be obtained in tim e owing to difficulties in 
completing its constitutional or institutional procedures, and the Council decides to extend for that member the period for acc eptance of the amendment.  
Such member shall not be bound by the amendmen t before it has notified its acceptance thereof.  
6. If the requirements for the en try into force of the amendment have not been met by the date fixed by the Council in accordan ce with paragraph 2 of this 
article, the amendment shall be considered withdrawn". 
L. UN FISH STOCKS AGREEMENT  
15. The UN Fish Stocks Agreement is the Agreem ent for the Implementation of the Provisions of the UN Convention on the Law of the S ea (UNCLOS) of 
10 December 1982 relating to the Conservation and Management of St raddling Fish Stocks and Highly Migratory Fish Stocks (UN Fis h Stocks Agreement).  
Article 4 of the UN Fish Stocks Agreements  on the Relationship between this Agreement and the Convention on the Law of the Sea provides that "[n]othing in 
this Agreement shall prejudice the rights, jurisdiction and duties of States under the Convention.  This Agreement shall be int erpreted and applied in the context 
of and in a manner consiste nt with the Convention". 
Web site Æ http://www.un.org/Depts/los/convention_agreements/convention_overview_fish_stocks.htm 
Objective Æ The UN Fish Stocks Agreement seeks to ensure the long-term conservation and sustainable use of straddling and highly migratory fish stocks by 
requiring coastal States and States fishing on the high seas to cooperate for these purposes, either directly or through approp riate subregional or Regional 
Fisheries Management Organizations (RFMOs) or arrangements. 
Date of Signature 5 August 1995 
Entry into force 11 December 2001 
Parties 62 
WTO Members 47 Parties to the UN Fish Stocks  Agreement are also WTO Members. 
Openness of 
Membership Article 37 – Signature 
"This Agreement shall be open for signature by all States and the other entities referred to in article 1, paragraph 2(b)…". 
Article 38 – Ratification 
"This Agreement is subject to ratification by States and th e other entities referred to in article 1, paragraph 2(b)…". 
Article 39 – Accession  
"This Agreement shall remain open for acces sion by States and the other entities refe rred to in article 1, paragraph 2(b)…".  
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Page 38 Article 1:2(b) – Use of terms and scope  
2. (b) This Agreement applies mutatis mutandis: 
(i) to any entity referred to in article 305, para graph 1 (c), (d) and (e), of the Convention and 
(ii) subject to article 47, to any entity referred to as an "i nternational organization" in Annex IX, article 1, of the Convent ion which becomes a Party 
to this Agreement, and to that extent "States Parties" refers to those entities". 
Article 305:1 of the UN Convention on the Law of the Sea – Signature 
"1. This Convention shall be open for signature by: 
(a) all States; 
(b) Namibia, represented by the UN Council for Namibia; (c) all self-governing associated States which have chosen that status in an act of self-determination supervised and approved by the UN in accordance 
with General Assembly resolution 1514 (XV) and which have compet ence over the matters governed by this Convention, including th e competence to 
enter into treaties in respect of those matters; (d) all self-governing associated States wh ich, in accordance with their respective in struments of association, have competence  over the matters 
governed by this Convention, including the competence to enter into treaties in respect of those matters; 
(e) all territories which enjoy full internal self-government, rec ognized as such by the UN, but have not attained full indepen dence in accordance with 
General Assembly resolution 1514 (XV) and which have competence ov er the matters governed by this  Convention, including the com petence to enter 
into treaties in respect of those matters; 
(f) international organizations, in accordance with Annex IX". 
Decision-Making  
Bodies 
 Informal Consultations of States Parties 
Æ     The General Assembly of the United Nations (UNGA) in its Resolu tion 56/13 of 28 November 2001 requested the Secretary-General o f the UN, 
once the Agreement entered into force, to consult with the States Parties, for th e purposes and objectives of, inter alia , considering the regional, 
subregional and global implementation of the Agreement;  making any appropriate reco mmendation to the UNGA on the scope and con tent of the annual 
report of the Secretary-General relating to the Agreement;  and preparing for the review conference to be convened by the Secre tary-General pursuant to 
Article 36 of the Agreement.  Such Informal Consultations of Stat es Parties have been held annually in New York since 2002.   
Review Conference 
Æ The Agreement provides for the c onvening of a Review Conference four years after the date of the entry in to force of the Agreem ent (Article 36).   
Article 36  
"1. Four years after the date of entry into  force of this Agreement, the Secretary-Ge neral of the UN shall convene a conference  with a view to assessing 
the effectiveness of this Agreement in securing the conservation and management of straddling fish stocks and highly migratory fish stocks.  The 
Secretary-General shall invite to the conference all States Pa rties and those States and entities which are entitled to become parties to this Agreement as 
well as those intergovernmental and non-governmental organizations entitled to participate as observers. 
2. The conference shall review and assess the adequacy of the pr ovisions of this Agreement and, if necessary, propose means of strengthening the 
substance and methods of implementation of those provisions in order better to address any continuing problems in the conservat ion and management of 
straddling fish stocks and highly migratory fish stocks". 
Æ Pursuant to Article 36, the General Assembly (resolution 59/25, para.16) requested the Secretary-General to convene a review c onference on the 
Agreement in the first part of 2006.  The Conference was held in New York, from 22 to 26 May 2006. The Conference reviewed and assessed: 1)  current 
efforts related to the conservation and management of straddling fish stocks and highly migratroy fish stocks; 2)  current mech anisms for international 
cooperation for the conservation of these fish stocks , including cooperation with non-members of regi onal fisheries management organziations or 
arrangements; 3) current efforts related to monitoring, contro l and surveillance and compliance and enforcement; and 4) current  efforts to address the 
special requirements of developing States. The Conference  also recommended promoting further ratification and accession  to th e Agreement through a 
continuing dialogue to address concerns raised by some non-parties regarding some provisions of the Agreement.  
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the Review Conference at a date not later th an 2011, to be agreed at a future round of Informal Consultations of States Parties  to the Agreement.  
Amendments and 
Protocols Article 45 – Amendment 
"1. A State Party may, by written communication addressed to the Se cretary-General of the UN, propo se amendments to this Agreem ent and request the 
convening of a conference to consider such proposed amendments .  The Secretary-General shall ci rculate such communication to al l States Parties.  If, 
within six months from the date of the circulation of the communication, not less than one half of the States Parties reply fav ourably to the request, the 
Secretary-General shall convene the conference. 
2. The decision-making procedure applicable at the amendment conference convened pursuant to paragraph 1 shall be the same as t hat applicable at the 
UN Conference on Straddling Fish Stocks and Highly Migratory Fish Stocks, unless otherwise decided by the conference.  The conf erence should make 
every effort to reach agr eement on any amendments by way of consensus and th ere should be no voting on them until all efforts a t consensus have been 
exhausted. 
3. Once adopted, amendments to this Agreement shall be open for signature at United Nations Headquarters by States Parties for twelve months from the 
date of adoption, unless otherwise provided in the amendment itself. 
4. Articles 38, 39, 47 and 50 apply to all amendments to this Agreement. 5. Amendments to this Agreement shall en ter into force for the States  Parties ratifying or acceding to them on the thirtieth da y following the deposit of 
instruments of ratification or accession by tw o thirds of the States Parties.  Ther eafter, for each State Party ratifying or ac ceding to an amendment after the 
deposit of the required number of such instruments, the amendm ent shall enter into force on the thirtieth day following the dep osit of its instrument of 
ratification or accession. 
6. An amendment may provide that  a smaller or a larger number of ratifications  or accessions shall be required for its entry in to force than are required by 
this article.   7. A State which becomes a Party to this Agreement after the en try into force of am endments in accordance with paragraph 5 shal l, failing an expression 
of a different intention by that State: 
(a) be considered as a Party to this Agreement as so amended;  and (b) be considered as a Party to the unamended Agreement in  relation to any State Party not bound by the amendment". 
 
M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL 
TRADE  
Web site http://www.pic.int/ 
Objective Æ The objective of the Rotterdam Co nvention is to promote shared responsibility a nd cooperative effort among Parties in the inter national trade of certain 
hazardous chemicals in order to protect huma n health and the environment from potential harm and to contribute to their environ mentally sound use, by 
facilitating information exchange about their characteristics, by providing for a national decision-making process on their imp ort and export and by 
disseminating these decisions to Parties. 
Æ The Convention provides that chemicals subject  to the Convention may be exported only in  accordance with an informed decision b y importing Parties. 
Date of Signature 10 September 1998 
Entry into force 24 February 2004 
Parties 112 
WTO Members 96 Parties to the Rotterdam Convention are also WTO Members.  
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Page 40 Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature...by all States and regional economic integration organizations…". 
Article 25 – Ratification, accep tance, approval or accession 
"1. This Convention shall be subject to ratif ication, acceptance or approval by States and by regional econ omic integration org anizations.  It shall be open 
for accession by States and by regional econom ic integration organizations from the da y after the date on which the Convention is closed for signature.  
Instruments of ratification, acceptance, approval or  accession shall be deposited with the Depositary. 
2. Any regional economic integration organization that becomes a Pa rty to this Convention without any of its member States bein g a Party shall be bound 
by all the obligations under the Convention. In the case of such organizations, one or more of whose member States is a Party t o this Convention, the 
organization and its member States shall decide on their resp ective responsibilities for the performance of their obligations u nder the Convention. In such 
cases, the organization and the member States shall not be en titled to exercise rights under the Convention concurrently...." 
Decision-Making 
Bodies Article 18 – Conference of the Parties 
"...5. The [COP] shall keep under continuous review and evaluatio n the implementation of this Convention.  It shall perform the  functions assigned to it by 
the Convention and, to this end, shall: 
(a) Establish, further to the requirements of paragraph 6 below,  such subsidiary bodies, as it considers necessary for the impl ementation of the 
Convention; 
(b) Cooperate, where appropriate, with co mpetent international organizations and intergovernmental and non-governmental bodies;   and 
(c) Consider and undertake any additional action that may be requ ired for the achievement of the objectives of the Convention. 
6. The [COP] shall, at its first meeting, establish a subsidiary  body, to be called the Chemical Review Committee, for the purp oses of performing the 
functions assigned to that Committee by this Convention.  In this regard: 
(a) The members of the Chemical Review Committee shall be appoin ted by the [COP].  Membership of the Committee shall consist of  a limited number 
of government-designated experts in chemicals management.  The members of the Committee shall be appointed on the basis of equi table geographical 
distribution, including ensuring a balance between developed and developing Parties; 
(b) The [COP] shall decide on the terms of refere nce, organization and operation of the Committee; 
(c) The Committee shall make every effort to make its recommendations by consensus.  If all efforts at consensus have been exha usted, and no 
consensus reached, such recommendation shall as a last resort be adopted by a two-thirds majority vote of the members present a nd voting". 
Æ In decisions RC-1/6 and RC-1/7, COP-1 established the Chemical Review Committee and adopted the Rules and Procedures for preven ting and dealing 
with conflicts of interest relating to the activities of the Chemical Review Committee. 
Amendments and 
Protocols Article 21 – Amendments  to the Convention 
"1. Amendments to this Convention may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of the [COP].  The text of any proposed amendment shall be commu nicated to the Parties 
by the Secretariat at least six months befo re the meeting at which it is proposed for adoption.  The Secretariat shall also com municate the proposed 
amendment to the signatories to this Convention and, for information, to the Depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus.  If all ef forts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopt ed by a three-fourth s majority vote of t he Parties present and 
voting at the meeting. 
4. The amendment shall be communicated by the Depositary  to all Parties for ratifica tion, acceptance or approval. 
5. Ratification, acceptance or approval of an  amendment shall be notified to the Depositary in writing.   An amendment adopted i n accordance with 
paragraph 3 shall enter into force for the Parties having accepted it on the ninetieth day after the date of deposit of instrum ents of ratification, acceptance 
or approval by at least three fourths of the Parties.  Therea fter, the amendment sh all enter into force for any other Party on the ninetieth day after the date 
on which that Party deposits its instrument of ra tification, acceptance or ap proval of the amendment". 
  
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 Page 41N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
Web site http://www.pops.int/ 
Objective Æ The aim of the Convention is to reduce or eliminate the release of Persistent Or ganic Pollutants (POPs) into the environment.  
Date of Signature 22 May 2001 
Entry into force 17 May 2004 
Parties 137 
WTO Members 109 Parties to the Stockholm Convention are also WTO Members. 
Openness of 
Membership Article 24 – Signature 
"This Convention shall be open for signature...by all States and regional economic integration organizations …". 
Article 25 – Ratification, accep tance, approval or accession 
"1. This Convention shall be subject to ratif ication, acceptance or approval by States and by regional econ omic integration org anizations.  It shall be open 
for accession by States and by regional econom ic integration organizations from the da y after the date on which the Convention is closed for signature.  
Instruments of ratification, acceptance, approval or  accession shall be deposited with the Depositary 
2. Any regional economic integration organization that becomes a Pa rty to this Convention without any of its member States bein g a Party shall be bound 
by all the obligations under the Convention.  In the case of such organizations, one or more of whose member States is a Party to this Convention, the 
organization and its member States shall decide on their respective responsibilities for the performance of their obligations u nder the Convention.  In such 
cases, the organization and the member States shall not be en titled to exercise rights under the Convention concurrently...". 
Decision-Making 
Bodies Article 19 – Conference of the Parties 
"...5. The [COP] shall keep under continuous review and evaluatio n the implementation of this Convention.  It shall perform the  functions assigned to it by 
the Convention and, to this end, shall: 
(a) Establish, further to the requirements of paragraph 6, such subsidiary bodies as it considers necessary for the implementat ion of the Convention; 
(b) Cooperate, where appropriate, with co mpetent international organizations and intergovernmental and non-governmental bodies;   and 
(c) Regularly review all information made available to the Partie s pursuant to Article 15, including consideration of the effec tiveness of 
paragraph 2 (b) (iii) of Article 3; 
(d) Consider and undertake any additional action that may be required for the achievement of the objectives of the Convention. 
6. The [COP] shall, at its first meeting, establish a subsidiary  body to be called the Persistent Organic Pollutants Review Com mittee for the purposes of 
performing the functions assigned to that Committee by this Convention.  In this regard: 
(a) The members of the Persistent Organic Pollutants Review Comm ittee shall be appointed by the [COP].  Membership of the Commi ttee shall consist 
of government-designated experts in chemical assessment or management.  The members of the Committee shall be appointed on the basis of equitable 
geographical distribution; 
(b) The [COP] shall decide on the terms of referen ce, organization and operation of the Committee;  and 
(c) The Committee shall make every effort to adopt its recommendations by consensus.  If  all efforts at consensus have been exh austed, and no 
consensus reached, such recommendation shall as a last resort be adopted by a two-thirds majority vote of the members present a nd voting. 
7. The [COP] shall, at its third meeting, evaluate the continue d need for the procedure contained in paragraph 2 (b) of Article  3, including consideration of 
its effectiveness".... 
Amendments and 
Protocols Article 21 – Amendments  to the Convention 
"1. Amendments to this Convention may be proposed by any Party. 
2. Amendments to this Convention shall be adopted at a meeting of the [COP].  The text of any proposed amendment shall be commu nicated to the Parties 
by the Secretariat at least six months befo re the meeting at which it is proposed for adoption.  The Secretariat shall also com municate proposed  
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Page 42 amendments to the signatories to this Conven tion and, for information, to the depositary. 
3. The Parties shall make every effort to reach agreement on any proposed amendment to this Convention by consensus.  If all ef forts at consensus have 
been exhausted, and no agreement reached, the amendment shall as a last resort be adopt ed by a three-fourth s majority vote of t he Parties present and 
voting. 
4. The amendment shall be communicated by the depositary  to all Parties for ratifica tion, acceptance or approval. 
5. Ratification, acceptance or appr oval of an amendment shall be notified to the depositary in wr iting.  An amendment adopted i n accordance with 
paragraph 3 shall enter into force for the Parties having accepted it on the ninetieth day after the date of deposit of instrum ents of ratification, acceptance 
or approval by at least three-fourths of the Parties.  Thereafter, th e amendment shall en ter into force for any other Party on the ninetieth day after the date 
on which that Party deposits its instrument of ra tification, acceptance or ap proval of the amendment". 
 
II. TRADE-RELATED MEASURES 
A. INTERNATIONAL PLANT PROTECTION CONVENTION  
Article V 
Phytosanitary 
certification  "1. Each contracting party shall make arrang ements for phytosanitary certification, wi th the objective of ensuring that exporte d plants, plant products 
and other regulated articles and consignments thereof are in conformity w ith the certifying statement to be made pursuant to pa ragraph 2(b) of this 
Article. 2. Each contracting party shall make arrangements for the issuance of phytosanitary certificates in conformity with the followi ng provisions: 
a) Inspection and other related activities leading to issuance of phytosanitary certificates shall be carried out only by or un der the authority of the 
official national plant protection organization.  The issuance of  phytosanitary certificates sha ll be carried out by public off icers who are technically 
qualified and duly authorized by the official national plant protection organization to act on its behalf and under its control  with such knowledge and 
information available to those officers that the authorities of importing contracti ng parties may accept the phytosanitary cert ificates with confidence 
as dependable documents. b) Phytosanitary certificates, or their el ectronic equivalent where accepted by the importing contracting party concerned, shal l be as worded in the 
models set out in the Annex to this Convention.  These certificat es should be completed and issued taking into account relevant  international 
standards. c) Uncertified alterations or erasur es shall invalidate the certificates. 
3. Each contracting party undertakes not to require consignments of plants or plant products or other regulated articles import ed into its territories to be 
accompanied by phytosanitary certificates inco nsistent with the models set out in the Annex to this Conven tion.  Any requiremen ts for additional 
declarations shall be limited to those technically justified". 
 
Article VII  
Requirements in 
relation to imports 
 "1. With the aim of preventing the introduction and/or spread of regulated pests into their territories, contracting parties sh all have sovereign authority 
to regulate, in accordance with ap plicable international agreemen ts, the entry of plants and plant products and other regulated  articles and, to this end, 
may:   
(a) prescribe and adopt phytosanitary measures concerning the importation of plants, plant products and other regulated article s, including, for 
example, inspection, prohibition on importation, and treatment;   (b) refuse entry or detain, or require treatment, destruction or removal from the territory of the contracting party, of plants , plant products and other 
regulated articles or consignments thereof that do not comply w ith the phytosanitary measures prescribed or adopted under subpa ragraph (a);   
(c) prohibit or restrict the movement of regulated pests into their territories;   (d) prohibit or restrict the movement of biological control agents and other organisms of phytosanitary concern claimed to be b eneficial into their 
territories.  
  
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 Page 432. In order to minimize interference with international trade, each contracting party, in exercising its authority under paragr aph 1 of this Article, 
undertakes to act in conformity with the following:   
(a) Contracting parties shall not, under their phytosanitary legislation, take any of the measures specified in paragraph 1 of this Article unless such 
measures are made necessary by phytosanitary co nsiderations and are technically justified.  
(b) Contracting parties shall, immediately upon their adoption, publish and transmit phytosanitary requirements, restrictions a nd prohibitions to any 
contracting party or parties that they believe may be directly affected by such measures.  
(c) Contracting parties shall, on request, make available to an y contracting party the rationale for phytosanitary requirements , restrictions and 
prohibitions.  
(d) If a contracting party requires consignments of particular plants or plant products to be imported only through specified p oints of entry, such 
points shall be so selected as not to unnecessarily impede inte rnational trade.  The contracti ng party shall publish a list of such points of entry and 
communicate it to the Secretary, any region al plant protection organization of which the contracting party is a member, all con tracting parties which 
the contracting party believes to be directly affected, and othe r contracting parties upon request.  Such restrictions on point s of entry shall not be 
made unless the plants, plant products or other regulated article s concerned are required to be accompanied by phytosanitary ce rtificates or to be 
submitted to inspection or treatment.  
(e) Any inspection or other phytosanitary procedure required by the plant protection organization of a contracting party for a consignment of plants, 
plant products or other regulated  articles offered for importation, shall take pl ace as promptly as possible with due regard to  their perishability.  
(f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where approp riate, the re-exporting 
contracting party concerned, of significant instances of non-compliance with phytosanitary certification.  The exporting contra cting party or, where 
appropriate, the re-exporting contracting party concerned, should investigate and, on request, report the result of its investi gation to the importing 
contracting party concerned.  
(g) Contracting parties shall institute only phytosanitary measures  that are technically justified, consistent with the pest ri sk involved and represent 
the least restrictive measures available, and result in the minimum impediment to the international movement of people, commodi ties and 
conveyances.  (h) Contracting parties shall, as conditions change, and as new facts become available, ensure that phytosanitary measures are promptly modified or 
removed if found to be unnecessary.  
(i) Contracting parties shall, to the best of their ability, esta blish and update lists of regulated pests, using scientific na mes, and make such lists 
available to the Secretary, to regional plant protection organizations of which they are members and, on request, to other cont racting parties.  
(j) Contracting parties shall, to the best of their ability, con duct surveillance for pests and develop and maintain adequate i nformation on pest status in 
order to support categorization of pests, and for the development of appropriate phytosanitary measures.  This information shal l be made available to 
contracting parties, on request.  
3. A contracting party may apply measures specified in this Article to pests which may not be capable of establishment in its t erritories but, if they 
gained entry, cause economic damage.  Measures taken against these pests must be technically justified.  4. Contracting parties may apply measures specified in this Artic le to consignments in transit through their territories only w here such measures are 
technically justified and necess ary to prevent the introduction and/or spread of pests.  
5. Nothing in this Article shall prevent importing contracting parties from making special provision, subject to adequate safeg uards, for the importation, 
for the purpose of scientific research, education, or other specific use, of plants and plant products and other regulated arti cles, and of plant pests.  
6. Nothing in this Article shall prevent any contracting party from taking appropriate emergency action on the detection of a p est posing a potential 
threat to its territories or the report of such a detection.  Any such action shall be  evaluated as soon as possible to ensure that its continuance is justified.  
The action taken shall be immediately reported to contracting pa rties concerned, the Secretary, and any regional plant protecti on organization of which 
the contracting party is a member". 
  
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Page 44 Examples of 
International 
Standards for 
Phytosanitary 
Measures (ISPMs) 
adopted under IPPC 
relevant to trade: 
 ISPM # 01 (2006):  Phytosanitary principles for the protection of plants and the application of phytosanitary measures in inter national trade 
ISPM # 02 (1995):  Guidelines for pest risk analysis 
ISPM # 03 (2005):  Guidelines for the export, shipment, import and release of biological control agents and other beneficial or ganisms  
ISPM # 04 (1995):  Requirements for the establishment of Pest Free Areas 
ISPM # 07 (1997):  Export certification system 
ISPM # 10 (1999):  Requirements for the establishment of pest free places of production and pest free production sites ISPM # 11 (2004):  Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organi sms 
ISPM # 12 (2001):  Guidelines  for phytosanitary certificates 
ISPM # 14 (2002):  The use of integrated measures in a systems approach for pest risk management ISPM # 15 (2002):  Guidelines for regulating wood packaging material in international trade 
ISPM # 16 (2002):  Regulated non-quarantine pests:  concept and application 
ISPM # 18 (2003):  Guidelines for the use of irradiation as a phytosanitary measure ISPM # 20 (2004):  Guidelines for a phytosanitary import regulatory system 
ISPM # 21 (2004):  Pest risk analysis for regulated non quarantine pests 
 
B. INTERNATIONAL CONVENTION FOR THE CONSERVATION OF ATLANTIC TUNAS  
16. The International Commission for the Conservation of Atlantic T unas (ICCAT) is not a regulatory body, however, regulatory Recom mendations and 
Resolutions related to the conservation of tuna and tuna-like species in the Atlantic Ocean and adjacent seas, adopted by the C ommission, are to be implemented 
domestically by Contracting Parties and C ooperating non-Contracting Parties, Entities or Fishing Entities.  Recommendations are  the only binding instruments.  
They are subject to a six-month period during which Contracting Parties can file an objection (see Article VIII:3).  The Recomm endations then enter into force 
after the six-month objection period.  Resolutions are a second inst rument of the Commission, but are not subject to an objecti on period.  The number of 
Resolutions and Recommendations that the Commission adopts eac h year has been increasing.  They include the following: 
1. Resolutions 
Resolution 99-11 
Further Actions Against 
IUUs  Resolution Calling for Further Actions Agains t Illegal, Unregulated, and Unreported Fi shing Activities by Large-Scale Longline Vessels in 
the Convention Area and Other Ar eas (Transmitted to Contracting Parties on  16 December 1999)  
"... 2. The Contracting Parties, Cooperatin g Non-Contracting Parties, Entities or Fi shing Entities shall take every possible ac tion, consistent with the 
relevant laws,  
i. to urge their importers, transporters and other concerned bus iness people to refrain from engaging in transaction and transs hipment of tunas and 
tuna-like species caught by vessels carrying out illegal, unregulated and unreported fishing activities in the Convention Area and other areas. ..." 
Resolution 01-18 
Scope of IUU Fishing  Resolution Further Defining the Scop e of IUU Fishing (Transmitted to Cont racting Parties on  22 March 2002) 
"... Contracting Parties and Cooperating Non-Contracting Parties, Entities and Fish ing Entities shall take every possible actio n, consistent with 
relevant laws, to instruct their importers, transporters, and other concerned business people to refrain from engaging in trans action and transshipment 
of tunas and tuna-like species caught by vessels carrying out illegal, unregulated, and unreported fishing activities, which in clude, inter alia , any 
fishing not in compliance with relevant ICCAT conservation and management measures, in the Convention Area or other areas." 
Resolution 02-25  
Measures to Prevent the 
Laundering of Catches 
by IUU Large-Scale Resolution concerning the Measures to Prevent the Laundering of Catches by IUU Large-Scale Tuna Longline Fishing Vessels (Enter ed into 
force 3 June 2003) 
"... 1. Contracting Parties, Cooperating Non-Contracting Parties, Entities or Fishin g Entities (hereinafter referred to as the "CPCs") should ensure that 
their duly licensed large-scale tuna longline fishing vessels have a prior authorization of at sea or in port transshipment and  obtain the validated  
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 Page 45Tuna Longline Fishing 
Vessels Statistical Document, whenever possible, pr ior to the transshipment of their tuna and tuna-like species subject to the Statisti cal Document Programs.  
They should also ensure that transshipments are consistent with  the reported catch amount of each vessel in validating the Stat istical Document and 
require the reporting of transshipment. 2. CPCs that import tuna and tuna-like species caught by large- scale tuna longline fishing vessels and subject to the Statistic al Document Programs 
should require transporters (which  include container vessels, mother vessels, and the like) that intend to land such species in  their ports, to ensure that 
Statistical Documents are issued, whenever possible before the transshipment.  Importing CPCs should obligate the transporters to submit necessary 
documents, including a copy of the validated Statistical Docume nt and other documents, as required under domestic regulation, s uch as the receipt of 
transshipment, to the importing CPCs’ author ities immediately after the transshipment". 
 
Resolution 02-26 
Cooperative Actions to 
Eliminate IUU Fishing 
Activities by Large-Scale 
Tuna Longline Vessels 
(LSTLVs) Resolution concerning Cooperative Actions to  Eliminate IUU Fishing Activities by Larg e-Scale Tuna Longline Vessels (Entered int o force 3 
June 2003) 
"... 1. Japan and Chinese Taipei should further work together to  eliminate the remaining IUU LSTLVs owned and/or operated by Ch inese Taipei’s 
residents. 2. Japan should work closely with the flag States of LSTLVs and if appropriate take joint action, so as to implement the Recomm endation smoothly 
and satisfactorily and to achieve th e objective of paragraph 1 above. 
3. The Commission urges Chinese Taipei to consider adopting appropriate domestic legislation to improve its ability to control its residents that 
invest in or otherwise support or engage in IUU fishing. 
4. Contracting Parties, Cooperating non-C ontracting Parties, Entities or Fishing Entities should urge and may instruct their re sidents to refrain from 
engaging in and/or associating with activ ities that may support IUU tuna longline fi shing vessels and with any other activities  that undermine the 
effectiveness of ICCAT conservation and management measures". 
Resolution 03-15 
Trade measures Resolution concerning trade measu res (Transmitted to Contractin g Parties on 19 December 2003) 
"... 6. The Compliance Committee [Conservation and Management Measures Compliance Commi ttee] or the PWG [Permanent Working Grou p for 
the Improvement of ICCAT Statistics and Conservation Measures] should evaluate the response of the CPCs [Contracting Parties an d Cooperating 
non-Contracting Parties] or NCPs [Non-Cont racting Parties, Entities or Fishing Entities] , together with any new information, an d propose to the 
Commission to decide upon one of the following actions: ... 
c) the adoption of non-discriminatory trade restrictive measures. 
In the case of CPCs, actions such as the re duction of existing quotas or catch limits should be implemented to the extent possi ble before 
consideration is given to the application of  trade restrictive measures.  Trade measures  should be considered only where such a ctions either have 
proven unsuccessful or would not be effective. 
7. If the Commission decides upon the action described in paragraph 6 c), it should recommend to the Contracting Parties pursua nt to Article VIII of 
the Convention to take non-discriminatory trade restrictive measur es, consistent with their international obligations.  The Com mission should notify 
the CPCs and NCPs concerned of the decision and the underlying reasons in accordance with the procedures specified in paragraph  5. 
8. CPCs should notify the Commission of any measures that they have taken for the implementation of the non-discriminatory trad e restrictive 
measures adopted in accordance with paragraph 7. 9. In order for the Commission to recommend the lifting of trade restrictive measures, the Comp liance Committee or the PWG shou ld review each 
year all trade restrictive measures adopted in accordance with paragraph 7.   Should this review show  that the situation has bee n rectified, the 
Compliance Committee or PWG should recommend to the Commission th e lifting of the non-discriminatory trade restrictive measures .  Such 
decisions should also take into consideration whether the CPCs and/or NCPs concerned have taken concrete measures capable of ac hieving lasting 
improvement of the situation. 
10. Where exceptional circumstances so warra nt or where available information clearly shows that, despite the lifting of trade- restrictive measures, 
the CPC or NCP concerned continues to diminish the effectiveness of ICCAT conservation and management measures, the Commission may 
immediately decide on action including, as appropriate, the imposition of trade-restric tive measures in accordance with paragra ph 7.  Before making  
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Page 46 such a decision, the Commission should request the CPC or NCP concerned to discontinue its wrongful conduct and should provide the CPC or NCP 
with a reasonable opportunity to respond. 
11. The Commission should establish annually a list of CPCs and NCPs that have been subject to a trade restrictive measure purs uant to paragraph 7 
and, with respect to NCPs, are considered as non-Cooperating non-Contracting Parties to ICCAT...".  
 
2. Recommendations 
Recommendation 96-14 
Compliance in Bluefin & 
North Atlantic Swordfish 
Fisheries  Recommendation Regarding Compliance in the Bl uefin Tuna and North Atlantic Swordfish Fisheries (Entered into force on 4 August 1997)  
"… 3. ... if any Contracting Party exceeds its catch limit durin g any two consecutive management periods, the Commission will r ecommend 
appropriate measures, which may include, but are not limited to, reduction in the catch limit equal to a minimum of 125% of the  excess harvest, and, 
if necessary, trade restrictive measures.  Any trade measures und er this paragraph will be import restrictions on the subject s pecies and consistent 
with each Party's international ob ligations.  The trade m easures will be of such duration an d under such conditions as the Comm ission may 
determine." 
Æ This recommendation was extended to South Atlantic swordfish fishery, effective on 24 September 1998 (Recommendation 97-8 – Co mpliance in 
the South Atlantic Swordfish Fishery)  
Recommendation 02-17 
Bolivia:  pursuant to the 
1998 IUU Resolution Recommendation Regarding Bolivia pursuant to the 1998 Resolution Concerning the Unrepor ted and Unregulated Catches of Tuna by 
Large-Scale Longline Vessels in the Convention  Area (Entered into force on 3 June 2003) 
"1. Contracting Parties and Cooperating non-Contracting Parties,  Entities or Fishing Entities take appropriate measures, consis tent with provisions of 
the 1998 Resolution, to the effect that the import of Atlantic bigeye tuna and its products in any form from Bolivia be prohibi ted, effective from the 
time this Recommendation enters into force". Æ The 1998 Resolution referred to in this paragraph was replaced by the Resolution by ICCAT Concerning Trade Measures (Res. 03-1 5 above).  
Recommendation 02-20 
Trade Sanction against 
St. Vincent and the 
Grenadines  Recommendation concerning the Trad e Sanction Against St. Vincent and the Grenadines (Entered into force on 3 June 2003) 
"...2. Contracting Parties and Cooperatin g non-Contracting Parties, Entities or Fishing Entities shall assist St. Vincent and t he Grenadines with its 
efforts to ensure that the owners and operators of its large- scale fishing vessels have no history of illegal, unreported and u nregulated fishing 
activities, or the previous owners and operat ors have no legal, beneficial or financia l interest in, or control over its large- scale fishing vessels." 
Recommendation 02-22 
Establishment of an 
ICCAT Record of 
Vessels over 24 Meters 
Authorized to Operate in 
the Convention Area Recommendation Concerning the Establishment of an ICCAT Record of  Vessels over 24 Meters Authorized to Operate in the Conventio n 
Area  (Positive List) (Entered into force on 3 June 2003) 
"... 1. The Commission shall establish and maintain an ICCAT reco rd of fishing vessels larger than 24 meters in length overall (hereafter referred to 
as "large scale fishing vessels" or "LSFVs ") authorized to fish for tuna and tuna- like species in the Conv ention Area.  For the  purpose of this 
recommendation, LSFVs not entered into the record are deemed not to  be authorized to fish for, retain on board, transship or la nd tuna and tuna-like 
species…".  
Recommendation 02-23 
Establishment of a List of 
Vessels Presumed to 
Have Carried out Illegal, 
Unreported and 
Unregulated Fishing 
Activities in the ICCAT 
Convention Area Recommendation Concerning the Establishment of  a List of Vessels Presumed to Have Ca rried out Illegal, Un reported and Unregulat ed 
Fishing Activities in the ICCAT Convention Area  (Negative List) (Entered in to force on 4 June 2003) 
"… 9. Contracting Parties and Cooperatin g non-Contracting Parties, Entities or Fishi ng Entities shall take all necessary measur es, under their 
applicable legislation: 
a) So that the fishing vessels, the mother ships and the cargo vessels flying their fl ag do not participate in any transshipmen t with vessels registered 
on the IUU list; b) So that IUU vessels that enter ports voluntarily are not authorized to land  or transship therein; 
c) To prohibit the chartering of a vessel included on the IUU list; 
d) To refuse to grant their flag to vessels included in the IUU list, except if the vessel has changed owner;  and the new owne r has provided  
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 Page 47sufficient evidence demonstrating the previous owner or operator has no further legal, beneficial or financial interest in, or control of, the vessel, or 
having taken into account all relevant facts, the flag Contrac ting Party or Cooperating non-Cont racting Party, Entity or Fishin g Entity determines 
that granting the vessel its flag will not result in IUU fishing; e) To prohibit the imports, or landing and/or transshipment, of  tuna and tuna-like species from vessels included in the IUU lis t; 
f) To encourage the importers, transporters and other sectors conc erned, to refrain from transaction and transshipment of tuna and tuna-like species 
caught by vessels included in the IUU list; g) To collect and exchange with other Contracting Parties or  Cooperating non-Contracting Pa rties, Entities or Fishing Entities any appropriate 
information with the aim of searching, controlling and preventin g false import/export certificates regarding tunas and tuna-lik e species from 
vessels included in the IUU list... 
12. Without prejudice to the rights of flag Contracting Parties or Cooperating non-Contracting Parties, Entities or Fishing Ent ities and coastal states 
to take proper action consistent with international law, the Contracting Parties, Cooperating non-Contracting Parties, Entities  or Fishing Entities shall 
not take any unilateral trade measures or other sanctions agai nst vessels provisionally included in the draft IUU list, pursuan t to paragraph 3, or 
which have been already removed from the list, pursuant to paragraph 6, on the grounds that such vessels are involved in IUU fi shing activities." 
Recommendation 03-16 
Additional Measures 
Against Illegal, 
Unreported and 
Unregulated Fishing Recommendation to Adopt Addi tional Measures Against Illegal, Unreported and Unregulated Fishing (Entered  into force on 19 June 2004) 
"… Consistent with their rights and obligations under interna tional law, Contracting Parties an d Cooperating non-Contracting Pa rties, Entities or 
Fishing Entities (hereafter referred to as CP Cs) take the necessary measures to prohib it landings from fishing vessels, placing  in cages for farming 
and/or the transshipment within their jurisdiction of tunas or tuna-like species caught by IUU fishing activities".  
Recommendation 03-18 
Trade Restrictive 
Measures on Bigeye 
Tuna against Georgia Recommendation for Bigeye Tuna Trade Restrictive Measures on Georgia (Ent ered into force on 19 June 2004) 
"… 1. Contracting Parties, Cooperating non-Contracting Parties, Entities, or Fishing Entities take appropriate measures consist ent with the provisions 
of the Resolution [98-18] to the effect that the import of Atlantic bigeye tuna and its products in any form from Georgia be pr ohibited effective from 
the time this Recommendation enters into force. 2. Contracting Parties, Cooperating non-C ontracting Parties, Entities or Fishing Entities lift the import prohibitions on Georg ia upon the decision of 
the Commission and receipt of notif ication from the ICCAT Executiv e Secretary that fishing practi ces of Georgia have been broug ht into conformity 
with ICCAT measures".  
Recommendation 04-13  
Lifting of Trade 
Sanctions against 
Equatorial Guinea Recommendation Concerning the Lifting of Trade Sanctions against Equatorial Guinea  (Entered into force on 13 June 2005) 
"… 1. Contracting Parties and Cooperating non-Contracting Pa rties, Entities or Fishing Entities shall lift he import prohibitio ns on Atlantic bigeye 
tuna and Atlantic bluefin tuna and their products that were imposed on Equatorial Guinea pursuant to the 1999 and 2000 Recommen dations. 
2. Notwithstanding the provisions of Article VIII, paragraph 2, of the Convention, the Contracting Parties and Cooperating Non- Contracting Parties, 
Entities or Fishing Entities shall implement this recommendation as soon as possible in accordance with their regulatory proced ures. 
3. The ICCAT Secretariat continue providin g Equatorial Guinea with the technical a ssistance necessary for the implementation of  a statistical-fishing 
data system so that this country can fully adapt to the I CCAT requirements concerning the submission of statistical data."  
Recommendation  05-04  
Amending the 
Recommendation on 
Bluefin Tuna Farming 
[Rec.04-06] Recommendation to Amend the Recommendation on Bluefin Tuna Farming  [Rec. 04-06 ] (Entered into force 13 June 2006) 
…"9. g) Each CPCs shall take the necessary  measures, under their applicable legislation, to prohibit the imports and sale of bl uefin tuna from farms 
not registered in the ICCAT record of farming facilities authoris ed to operate as well as those that do not respect the samplin g requirements foreseen 
in paragraph 2b and/or do not participate in the sampling programme referred to in paragraph 2 b)…."  
  
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Page 48 C. CONVENTION ON INTERNATIONAL TRADE IN ENDANGERED SPECIES OF WILD FAUNA AND FLORA  
CITES provides for trade measures at different decision-making levels: 
(a) Trade measures that are legally binding (text of the Convention); 
(b) trade measures decided by the Conference of the Parties (CoP); 
(c) trade measures decided by the Standing Committee (SC) on behalf of the CoP; 
(d) trade measures recommended by the Animals Committee/Plants Committee; 
(e) trade measures recommended by the Secretariat to the CoP and SC;  and 
(f) stricter domestic trade measures adopted by the Parties. 
1. Provisions of the Convention 
Article II 
Fundamental Principles "1. Appendix I shall include all species threatened with extinctio n which are or may be affected by trade.  Trade in specimens of these species must 
be subject to particularly strict regulation in order not to enda nger further their survival and must only be authorized in exc eptional circumstances.  
2. Appendix II shall include:   
(a) all species which although not necessarily now threatened with  extinction may become so unless trade in specimens of such s pecies is subject 
to strict regulation in order to avoid utilization incompatible with their survival;  and  
(b) other species which must be subject to regulation in order th at trade in specimens of certain species referred to in sub-pa ragraph (a) of this 
paragraph may be brought under effective control.  
3. Appendix III shall include all species which any Party identif ies as being subject to regulation within its jurisdiction for  the purpose of preventing 
or restricting exploitation, and as needing the co-operation of other Parties in the control of trade.  
4. The Parties shall not allow tr ade in specimens of species included in Appendi ces I, II and III except in accordance with the  provisions of the 
present Convention".  
Æ CITES subjects international trade in specime ns of selected species to certain contro ls.  These require that all import, export , re-export and 
introduction from the sea of species covered by the Convention be authorized through a licensing system.  The species covered b y CITES are listed 
in three Appendices, according to th e degree of protection they need.  
Article III 
Regulation of Trade in 
Specimens of Species 
Included in Appendix I Æ Appendix I lists species that are the most endangered among CITES-listed animals and plants (see Article II, paragraph 1 of the  Convention).  
CITES generally prohibits international commercial trade in specimens  of wild origin of these spec ies.  However, trade may be a llowed under 
exceptional circumstances, e.g. captive bree ding, artificial propagation, scientific re search, etc.  In these cases, trade may be authorized by the 
granting of both an export permit (or re -export certificate) and an import permit  (See Article III of the Convention). 
Æ Trade in Appendix I species of wild  origin must meet two criteria: 
1. Trade must not be primarily commercial in nature.  Resolution Conf. 5.10 adopted at CoP-5 (Buenos Aires,1985) defines "commerci al" as 
anything whose "purpose is to obtain economic benefit, including profit (whether in cash or in kind) and is directed toward res ale, exchange, 
provision of a service or other form of economic use or benefit. The Resolution further defines "primarily commercial" by provi ding that "all 
uses whose non-commercial aspects do not clear ly predominate shall be considered to be primarily commercial in nature with the result that the 
importation of specimens of Appendix-I species should not be permitted. The burden of proof for showing that the intended use o f specimens  
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 Page 49of Appendix-I species is clearly non-commercial shall rest with the person or entity seeking to import such specimens." 
2. It must not be detrimental to the species.  The non-detriment finding is a scientific assessment.  Document CoP11 Doc. 11.40 pr epared for 
CITES CoP-11 (Gigiri, 2000) provides assistance to Scientific Au thorities for making non-detriment findings.  It makes referenc e to 
Information Document CoP11 Inf. 11.3  which contains a checklist for making non-detriment findings for Appendix II species.  Th e checklist 
was published and distributed by IUCN at CoP-12 (see also new capacity building material prepared by the CITES Secretariat).   
Article IV 
Regulation of Trade in 
Specimens of Species 
Included in Appendix II Æ Appendix II lists species that are not nece ssarily threatened with extinction but that  may become so unless trade is closely co ntrolled.  It also 
includes so-called "look-alike species".  International trade in specimens of Appendix-II species may be authorized by the gran ting of an export 
permit or re-export certificate; no import permit is required by the Convention (some countries adopt stricter measures under A rticle XIV).  Permits 
or certificates should only be granted if the relevant authorities are satisfied that certain conditions are met, and above all , that trade is legal (i.e. trade 
is in accordance with the provisions of CITES and the specimen  is not obtained in contravention of the laws of the State of ori gin) and will not be 
detrimental to the survival of the species in the wild.  
Article V 
Regulation of Trade in 
Specimens of Species 
Included in Appendix III Æ Appendix III is a list of species included at the request of a Pa rty that already regu lates trade in the species and that needs  the cooperation of other 
countries to prevent unsustainable or illegal exploitation (see Ar ticle II, paragraph 3, of the Convention).  International tra de in specimens of species 
listed in this Appendix is allowed only on presen tation of the appropriate permits or certificates.  
Article VI 
Permits and Certificates Æ Provides details for permits and certificates granted under th e provisions of Articles III, IV, and V of the Convention. 
ÆResolution Conf. 12.3 (Rev. CoP 13) further elaborates on the requirements of permits and certificates.   
Article VII 
Exemptions and Other 
Special Provisions 
Relating to Trade Æ Lists the Exemptions and Other Special Provisions Relating to Trad e.  This Article provides all the exceptions to the regulatio n of trade in wild 
fauna and flora species listed in the three appendices. 
Æ The application and implementation of Article VII has been specified in Resolutions Conf. 13.6 and 13.7 of CoP13 (Bangkok, 2004 ). 
Article VIII 
Measures to Be Taken by 
the Parties "1. The Parties shall take appropriate meas ures to enforce the provisions of the present Convention and to prohibit trade in sp ecimens in violation 
thereof.  These shall include measures:   
(a) to penalize trade in, or possession of, such specimens, or both;  and  
(b) to provide for the confiscation or return to the State of export of such specimens.  
2. In addition to the measures taken under paragraph 1 of this  Article, a Party may, when it d eems it necessary, provide for an y method of internal 
reimbursement for expenses incurred as a result of the confiscation of a specimen traded in violation of the measures taken in the application of the 
provisions of the present Convention. 3. As far as possible, the Parties shall ensure that specimens  shall pass through any formalities required for trade with a min imum of delay.  To 
facilitate such passage, a Party may designate ports of exit and po rts of entry at which specimens must be presented for cleara nce.  The Parties shall 
ensure further that all living specimens, during any period of transit, holding or shipment, are properly cared for so as to mi nimize the risk of injury, 
damage to health or cruel treatment. 
4. Where a living specimen is confiscated as a result of me asures referred to in paragraph 1 of this Article:   
(a) the specimen shall be entrusted to a Management Authority of the State of confiscation;   (b) the Management Authority shall, after consultation with the St ate of export, return the specime n to that State at the expen se of that State, or to a 
rescue centre or such other place as the Management Authority deem s appropriate and consistent with  the purposes of the present  Convention;  and  
(c) the Management Authority may obtain the advice of a Scientific Authority, or may, whenever it considers it desirable, consu lt the Secretariat in 
order to facilitate the decision under sub-paragraph (b) of this paragraph, including the choice of  a rescue centre or other pl ace.  
5. A rescue centre as re ferred to in paragraph 4 of this Article means an institution designated by a Management Authority to l ook after the welfare 
of living specimens, particularly those that have been confiscated.  
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Page 50 6. Each Party shall maintain records of trade in specimens of species included in Appendices I, II and III which shall cover:   
(a) the names and addresses of exporters and importers;  and  
(b) the number and type of permits and cer tificates granted;  the States with which such trade occurred;  the numbers or quanti ties and types of 
specimens, names of species as included in  Appendices I, II and III and, where app licable, the size and sex of the specimens in  question.  
7. Each Party shall prepare periodic reports on its implementa tion of the present Convention an d shall transmit to the Secretar iat:   
(a) an annual report containing a summary of the information specified in sub-paragraph (b) of paragraph 6 of this Article;  an d  
(b) a biennial report on legislative, regu latory and administrative measures taken to enforce the provisions of the present Con vention.  
8. The information referred to in paragraph 7 of this Article shall be available to th e public where this is not inconsistent w ith the law of the Party 
concerned".  
Article IX  
Management and 
Scientific Authorities "1. Each Party shall designate for the pu rposes of the present Convention:   
(a) one or more Management Authorities competent to grant permits or certificates on behalf of that Party;  and  
(b) one or more Scientific Authorities.  
2. A State depositing an instrument of ra tification, acceptance, approval  or accession shall at that time inform the Depositary  Government of the 
name and address of the Management Authority authorized to communicate with other Parties an d with the Secretariat…".  
Article XIV 
Effect on Domestic 
Legislation and 
International 
Conventions "1. The provisions of the present Convention shall in  no way affect the right of Parties to adopt:   
(a) stricter domestic measures regarding the conditions for trad e, taking, possession or transpor t of specimens of species incl uded in Appendices I, 
II and III, or the complete prohibition thereof;  or  (b) domestic measures restricting or prohibiting trade, taking, po ssession or transport of species not included in Appendix I, II or III.  
2. The provisions of the present Convention sh all in no way affect the provisions of an y domestic measures or the obligations o f Parties deriving 
from any treaty, convention, or international agreement relating to other aspects of trade, taking, possession or transport of specimens which is in 
force or subsequently may enter into force for any Party including any measure pertaining to the Customs, public health, veteri nary or plant 
quarantine fields. 3. The provisions of the present Convention shall in no way affect the provisions of, or the obligations deriving from, any tre aty, convention or 
international agreement concluded or which may be concluded between States creating a union or regional trade agreement establi shing or 
maintaining a common external Customs control and removing Customs control between the parties thereto insofar as they relate t o trade among the 
States members of that union or agreement. 
4. A State party to the present Convention, which is also a party to any other treaty, convention or international agreement wh ich is in force at the 
time of the coming into force of the present Convention and under the provisions of which protection is afforded to marine spec ies included in 
Appendix II, shall be relieved of the obligations imposed on it under the provisions of the present Convention with respect to trade in specimens of 
species included in Appendix II that are taken by ships registered  in that State and in accordan ce with the provisions of such other treaty, convention 
or international agreement. 5. Notwithstanding the provisions of Articles III, IV and V, any export of a specimen taken in accordance with paragraph 4 of t his Article shall only 
require a certificate from a Management Auth ority of the State of introduction to the effect that the specimen was taken in acc ordance with the 
provisions of the other treaty, convention or international agreement in question. 6. Nothing in the present Convention shall prejudice the codification and development of  the law of the sea by the United Natio ns Conference on the 
Law of the Sea convened pursuant to Resolution 2750 C (XXV) of the General Assembly of the United Nations nor the present or fu ture claims and 
legal views of any State concerning the la w of the sea and the nature and extent of coastal and flag State jurisdiction". 
Æ Allows for Parties to take stricter domestic measures.  Appe ndix II does not require an import permit, but major importing coun tries have 
instituted a system of import permits for trade in certain species issued on the basis of extra conditions and non-CITES relate d criteria such as tariffs, 
health, veterinary, phytosanitary and animal welfare provisions.  In some instances, they also apply those conditions to specie s listed in Appendix III.  
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 Page 512. Resolutions and Decisions of the Conference of the Parties 
Examples of Resolutions and Decisions of the CoP include: 
Resolution Conf. 6.7 
Interpretation of 
Article XIV, paragraph 1 
of the Convention "…a) each Party intending to take stricter domestic measures pursuant to Article XIV, paragraph 1, of the Convention regarding trade in specimens 
of non-indigenous species included in the Appendices make every reasonable effort to notify the ra nge States of the species con cerned at as early a 
stage as possible prior to the adoption of such measures, and cons ult with those range States that  express a wish to confer on the matter;  and 
b) each Party that has taken such stricter  domestic measures for non-indigenous species  prior to the adoptio n of this Resolutio n consult, if requested, 
on the appropriateness of such measures w ith range States of th e species concerned". 
Resolution Conf. 9.21 
(Rev. CoP 13) 
Interpretation and 
Application of Quotas for 
Species included in 
Appendix I "... a) a Party wishing the Conference of the Parties to estab lish a quota for a species included in Appendix I, or to amend an  existing quota, should 
submit to the Secretariat its proposal, with  supporting information including details of the scientific basis for the proposed quota, at least 150 days 
before a meeting of the Conf erence of the Parties; and 
b) whenever the Conference of the Parties has set an export quota for a particular sp ecies included in Appendix I, this action by the Parties satisfies 
the requirements of Article III regarding the findings by the ap propriate Scientific Authorities that the export will not be de trimental to the survival 
of the species and that the purposes of the import will not be detrimental to the survival of the species, provided that: 
i) the quota is not exceeded; and ii) no new scientific or management data have emerged to indi cate that the species population in  the range State concerned can no longer sustain 
the agreed quota."  
Resolution Conf. 9.9 
Confiscation of 
Speciments Exported or 
Re-exported in violation 
of the Convention "...a) when specimens are exported or re-exported in violation of the Conve ntion, importing Parties: 
i) consider that the seizure and confiscation of such specimens  are generally preferable to the definitive refusal of the impor t of the specimens; and 
ii) notify as soon as possible the Management Authority of the State from which the specimens were consigned of the violation a nd of any 
enforcement actions taken concerning the specimens; and 
b) when the import of specimens that have been exported or re-exported in violation of the Convention is refused by the country  to which the 
specimens are consigned, the exporting or re-exporting Party take the measures necessary to ensure  that such specimens are not re-entered into illegal 
trade, including monitoring their return to the country and providing for their confiscation."  
Resolution Conf. 10.14 
(Rev. CoP13) 
Quotas for Leopard 
Hunting Trophies and 
Skins for Personal Use "…a) in reviewing applications for permits to import whole skins or nearly whole skins of leopard (including hunting trophies),  in accordance with 
paragraph 3 (a) of Article III, the Scientific Authority of the St ate of import approve permits if it is satisfied that the ski ns being considered are from 
one of the following States, which may not export more of the said skins taken from any one calendar year than the number shown  under ‘Quota’ 
opposite the name of the State:…" 
Resolution Conf. 11.6 
(Rev. CoP13) 
Trade in Vicuña Cloth "…a) Management Authorities authorize the import of vicuña cloth only if the reverse bears the logotype corresponding to the co untry of origin and 
the trade mark VICUÑA - COUNTRY OF ORIGIN or if it is cloth containing pre-Convention wool of vicuña; …" 
Resolution Conf. 11.7 
Conservation of and 
Trade in Musk Deer "…Urges all Parties, particularly musk deer range and consuming countries and those through which musk deer specimens pass in t ransit, to take 
immediate action in order to reduce demonstrably the illegal trade in musk deriving from wild musk deer by: 
a) introducing innovative enforcement methods in range and consumer States and, as a matter of priority, strengthening enforcem ent efforts in key 
border regions; b) pursuing the development of a clear labelling system for products containing musk, and the development and dissemination of forensic methods 
to detect natural musk in medicinal and other products; 
c) encouraging all range States and consumer  States that are not party to CITES to a ccede to it at the earliest possible date i n order to improve  
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Page 52 international trade control of raw musk and products containing musk; 
d) working with musk consumers to develop alternatives for raw musk in order to reduce demand for natural musk, while encouragi ng the 
development of safe and effective techniques for collecting musk from live musk deer;  and 
e) developing bilateral and regional agreements for improving mu sk deer conservation and management, strengthening legislation and 
strengthening enforcement efforts;…" 
Resolution Conf. 11.18 
Trade in Appendix-II 
and –III Species CoP recommends that if any Party deems that an Appendix-II or –III species is be ing traded in a manner detrimental to the survi val of that species, it:  
"a) consult directly with the appropriate Management Authorities of  the countries involved or, if this procedure is not feasibl e or successful, make 
use of the provisions of Article XIII to call upon the assistance of the Secretariat; 
b) make use of the options provided by Article XIV to apply stricter domestic measures particularly when re-export or transhipm ent, or trade with a 
State not party to the Convention is involved; or 
c) make use of the options provided by Article X when trad e with a State not party to the Convention is involved... " 
Resolution Conf. 12.7 
(Rev. CoP13) 
Conservation of and 
Trade in Sturgeons and 
Paddlefish "…Urges  the range States of species in the Order Acipenseriformes to: … 
b) curtail the illegal fishing of and trade in sturgeon and paddlefish specimens by improving the provisions in and enforcement  of existing laws 
regulating fisheries and export, in close collaboration with the CITES Secretariat, ICPO-Interpol and the World Customs Organiz ation; … 
Recommends with regard to regulating trade in sturgeon products, that: 
a) range States license legal exporters of specimens of sturgeon and paddlefish species and maintain a register of such persons  or companies and 
provide a copy of this register to the Secretariat by 30 November each year.  The Secretariat should distribute this informatio n via a Notification to 
the Parties; 
b) each importing, exporting and re-exporting Party should establish, where consistent with national law, a registration system  for processing and 
repackaging plants in its territory and provide to the Secret ariat the list of these facilities and their official registration  codes.  The list should be 
updated as needed.  A copy of the list shou ld be provided to the Secretariat by 30 November each year.  The Secretariat should distribute this 
information via a Notification to the Parties; c) importing countries be particularly vigilant in controlling a ll aspects of the trade in specimens of sturgeon and paddlefish  species, including the 
unloading of sturgeon specimens, transit, re-packaging, re-labelling and re-exports; 
d) Parties monitor the storage, processing and re-packaging of specimens of sturgeon and paddlefish species in Customs free zon es and free ports, 
and for airline and cr uise line catering; 
e) Parties ensure that all their relevant agencies cooperate in  establishing the necessary administrative, management, scientif ic and control 
mechanisms needed to implem ent the provisions of the Convention with respect to sturgeon and paddlefish species; 
f) Parties consider the harmonization of their national legislation related to personal exemptions for caviar, to allow for the  personal effects 
exemption under Article VII, paragraph 3, of the Convention and consider limiting this exemption to no more than 250 grams of c aviar per person; 
g) range States intending to authorize exports in a given year of  specimens of Acipenseriformes species from shared stocks that  were obtained in a 
preceding year must inform the Secretariat by 31 January of th e nature and quantities of the specimens still held in stock and the Secretariat should 
distribute this via a Notification to the Parties.  In 2005, all remaining stocks of caviar should be exported by 31 March at t he latest.  Parties should 
not import caviar harvested in 2004 if it is exported after 31 March 2005.  From 2006 onward, all caviar must be exported befor e the end of the 
quota year in which it was harvested and processed.  From 2006 onwards, Parties should not import caviar harvested or processed  in a preceding 
year; 
h) no re-export of caviar should be authorized more than 18 m onths after the date of issuance of the relevant original export p ermit; 
i) Parties should supply to the Secretaria t, on a regular basis, copies of all expo rt permits and re-export certificates issued  to authorize trade in 
caviar;  and 
j) importing Parties should not accept shipments of caviar unless they comply w ith the provisions of the universal labelling sy stem outlined in 
Annexes 1 and 2; ... 
…Urges Parties to implement without delay the labellin g of caviar in accordance with Annexes 1 and 2…".  
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 Page 53Resolution Conf. 12.8 
(Rev. CoP13) 
Review of Significant 
Trade in Specimens of 
Appendix-II species "... Directs the Animals and Plants Committees, in cooperation with  the Secretariat and experts, and in consultation with range  States, to review the 
biological, trade and other relevant information on Appendix-II sp ecies subject to significant levels of trade, to identify pro blems and solutions 
concerning the implementation of Article IV, paragraphs 2 (a), 3 and 6 (a) of the Convention in accordance with the following p rocedure: ... 
m) the Animals Committee or Plants Committee shall, in consulta tion with the Secretariat, formulate recommendations for the rem aining species.  
These recommendations shall be direct ed to the range States concerned; 
n) for species of urgent concern, these recommendations should propose specific actions to address problems related to the impl ementation of 
Article IV, paragraph 2 (a), 3 or 6 (a).  Such recommendations  should differentiate between short-term and long-term actions, a nd may include, for 
example: 
i) the establishment of administrative pro cedures, cautious expor t quotas or temporary restrictions on exports of the species c oncerned; ... 
o) for species of possible concern, these recommendations should specify the informatio n required to enable the Animals or Plan ts Committee to 
determine whether the species should  be categorized as either of urgent concern or  of least concern.  They should also specify interim measures 
where appropriate for the regulation of trade.  Such recommendations should differentiate between short-term and long-term acti ons, and may 
include, for example: ... 
ii) the establishment of cautious export quotas for the species concerned as an interim measure; ... 
s) when the Secretariat, having consulted w ith the Chairman of the Animals or Plants Committee, is not satisfied that a range S tate has 
implemented the recommendations ma de by the Animals or Plants Committee in accordance with paragr aphs n) or o), it should recom mend to the 
Standing Committee appropriate ac tion, which may include, as a last resort, a susp ension of trade in the affected species with that State.  On the 
basis of the report of the Secretariat, the Standing Committee shall decide on appr opriate action and make recommendations to t he State 
concerned, or to all Parties ...". 
Resolution Conf. 13.2 
Sustainable Use of 
Biodiversity:  Addis 
Ababa Principles and 
Guidelines "... Urges the Parties to: 
a) make use of the Principles and Guide lines for the Sustainable Use of Biodiversity , also taking into account scientific, trad e and enforcement 
considerations determined by national circ umstances, when adopting non-detriment-making processes and making CITES non-detrimen t findings; 
... Annex:  Sustainable use of biodiversity:  Addis Ababa Principles and Guidelines: ... 
Practical Principle 3:  International, national policies, laws an d regulations that distort markets which contribute to habitat  degradation or otherwise 
generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and removed or mitigated. ..." 
Resolution Conf. 13.4 
Conservation of and 
trade in great apes "... Urges all Parties to: 
a) adopt and implement comprehensive legisla tion to protect great apes, which includes:  
i) a prohibition of all international trade for primarily commerc ial purposes, including sale, display, purchase, offer to purc hase and acquisition 
for commercial purposes of wild-caught specimens of great apes;  and  
ii) deterrent penalties aimed at eliminating illegal trade in great apes and parts and derivatives thereof; ... 
Directs the Secretariat to: 
a) work closely with Parties, and as a me mber of the GRASP partnership, to develop and implement measures, including legislativ e and 
enforcement measures and regional and sub-regional initiatives, to halt or reduce and ultimately eliminate illegal trade in gre at apes; ... 
Urges the Secretariat, the Standing Commi ttee and the Animals Committee to work closel y with GRASP, and to explore and implemen t other 
measures through which the Convention can contribute to the conservation of great apes and to the promotion of public awareness  of the threat posed 
to great ape populations by illegal trade; ..." 
Resolution Conf. 13.10 
Trade in Alien Invasive 
Species "...The [CoP] to the Convention recommends that the parties: 
a) consider the problems of invasive species when developing national legislation and regulations that deal with the trade in l ive animals or plants; 
b) consult with the Management Authority of a proposed country of import, when possible and when applicable, when considering e xports of 
potentially invasive species, to determine whether ther e are domestic measures regulating such imports...".  
  
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Page 54 Decisions 13.74-
13.75National Wildlife 
Trade Policy Reviews  "Directed to the Secretariat ,   
Contingent on the availability of external funding, the Secret ariat shall, in collaboration with interested Parties and buildin g on the findings and 
recommendations of the workshop on trade po licy and economic incentives (Geneva, 2003): 
a) conduct, in cooperation with the Partie s, a review of their national policies regarding the use of and trade in specimens of  CITES-listed species, 
taking into account economic incen tives, production systems, cons umption patterns, market access strategies, price structures, certification 
schemes, CITES-relevant taxation and subsidy schemes, property ri ghts, mechanisms for benefit sharing and reinvestment in conse rvation, as well 
as stricter domestic measures that Parties apply or are affected by; 
b) compile and synthesize the information provided by the Par ties, and produce a report analysing the impacts of national polic ies for trade in 
CITES-listed species in terms of socio-economic and conservation benefits and costs, including on the economic value of the spe cies, levels of 
legal and illegal trade, improvement of the livelihood of local communities, and on how they affect the role of the private sec tor involved in such 
trade; 
c) report at the 54th and subsequent meetings of the Standing Committee and at the 14th meeting of the [CoP] on the progress ma de with regard to 
the implementation of this Decision; and  
d) submit a project proposal to the Global Environment Facility, and other funding institutions and development agencies, to se ek financial support 
to prepare the trade policy review s in the interested countries, in the context of their national and regional strategies for b iodiversity conservation. 
The Secretariat shall invite all Parties, governmental, intergovernmental and non-governmental organizations to provide technic al assistance for 
conducting the national wildlife trade policy reviews." 
3. Information on quota systems within CITES  
17. Quotas in the context of CITES are simply the maximum number of specimens that may be exported (and harvested in the case of th e Acipenseriformes).  
Export quotas are derived from four sources (see Notificati on No. 2004/029):  (a) voluntary national export quotas, (b) export quotas recommended by the CoP, 
Standing Committee or the Animals Committee,  (c) export quotas for raw elephant ivory in compliance with Resolution Conf. 10.10  (Rev. CoP12) and d) catch 
and export quotas for Acipenseriformes established in accordance with  Resolution Conf. 12.7 (Rev. CoP13).  Quotas, and to a les ser extent other forms of 
instruments on management of harvests and exports, have been used in CITES to regula te the quantity of specimens of CITES-liste d species entering 
international trade.  These quotas have b een established through a range of different procedures.  CITES export quotas should b e, and in many instances are, the 
result of: 
- Effective national conservation management programmes designed to prevent unsustainable  harvesting of wild populations;  and  
- a determination by CITES Scientific Authorities in compliance w ith Article III, paragraph 2 a), [for Appendix-I species] and Ar ticle IV, 
paragraph 2 a), [for Appendix-II species] of the Convention, that  the number of specimens that may be exported as part of a quo ta will not be 
detrimental to the survival of that species. 
18. CITES quotas have served as a significant conservation measure to curtail unsustainable trade in Appendix-II species (and there fore the likely transfer of 
such species to Appendix I), but also to he lp countries regulate trade and maintain ma rket access in situations where internati onal trade provides positive 
incentives for conservation.  
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 Page 554. Voluntary national export quotas 
19. Many Parties routinely establish annual export quotas on a voluntar y basis for one or more Appendix-II and/or –III species as a  means of regulating 
exports in those species (see e.g. Notifi cation to the Parties No. 2006/027 of 27 Ap ril 2006 and the CITES website).  The main purposes of such export quotas 
appear to be: 
- To establish a limit on yearly exports at levels that are sustaina ble, or within the annual production capacity of ranching or captive breeding 
operations; 
- to announce the intended level of exports to both producers at national level and importers fo r the purpose of facilitating tra de; 
- to establish a basis for allocating amounts to be  exported per year to individual exporters. 
Quotas established by the CoP or the Standing Committee  
20. At previous meetings, the CoP to CITES has established quotas for hunting trophies and other specimens of several species, incl uding Appendix-I 
species, either through the adoption of resolutions (e.g. Reso lution Conf. 10.14 (Rev. CoP13) concerning leopard, Resolution Co nf.10.15 (Rev. CoP12) 
concerning markhor, and Resolution Conf. 13.5 concerning black rhinoceros) or thr ough the amendment of the Appendices to includ e annotations to the listing of 
species that refer to quotas for those species or some populations  of those species (e.g. Annotation 112 that establishes a quo ta for the crocodile population of the 
United Republic of Tanzania or Annotation 613 that establishes a zero quota for some specimens of Geochelone sulcata).  Such qu otas can only be amended if 
the CoP adopts by a two-thirds majority a proposal to amend a listing or a resolution (unless the CoP had decided that a quota will only apply for a specific 
period).  Proposals to amend quotas specifi ed in the Appendices need to be submitted in accordance with Resolution Conf. 9.24 ( Rev. CoP13) and according to 
the provisions of Article XV.  
21. At its 12th meeting (Santiago, 2002), the CoP adopted Decision 12.17, direc ting the Standing Committee to est ablish an intersessional Expor t Quota 
Working Group with the goal of developing guidelines for Partie s to manage quotas. At CoP 13, the Parties adopted Decision 12.7 2 (Rev. CoP13) and Decision 
13.66, which directed the Standing Committee to "consider the is sue of improving the management of annual export quotas, and re port at the 14th meeting of the 
[CoP]" and to "instruct its Export Quota Wo rking Group to develop guidelines for Parties to establish, implement, monitor and r eport national export quotas for 
CITES-listed taxa."  The Working Group's most recent re port is contained in documen t SC54Doc.21 (rev. 1).    
22. Export quotas have in many instances been recommended  through or as a result of the Review of Significant Trade pursuant to Re solution Conf. 12.8 
(Rev. CoP13).  In such cases, the Animals and Plants Committees, through their revi ew of trade in species  selected because of c oncern over the sustainability of 
exports, made recommendations to Parties to conduct status asse ssments, apply management pro cedures or establish cautions expor t quotas.  In cases of non-
implementation, the Standing Committee shall decide on appropriat e action and make recommendations to the State concerned or to  all Parties.  Such 
recommendations can include the establishment of quotas or the suspension of imports w ith regard to specimens of listed species  (e.g. Notification No.  2006/034 
of 12 May 2006). 
Quotas submitted or established in accordance with Resolution Conf. 10.10 (Rev. CoP12) and Resolution Conf. 12.7 (Rev. CoP13). 
23. Export quotas are also established with regard to trade in speci fic species, i.e. elephant specimens (Resolution Conf. 10.10 Re v. CoP12) and sturgeons 
and paddlefish (Resolution Conf. 12.7 Rev. CoP13)..  These quotas are established by the members states in accordance with the said Resolutions.  
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D. CONVENTION ON THE CONSERVATION OF ANTARCTIC MARINE LIVING RESOURCES  
24. The Convention does not contain trade measures, but trade-relate d measures have been adopted, fo r instance, in the following Co nservation Measures 
that are binding for the Contracting Parties: 
10-02 (2006) 
Licensing and Inspection 
Obligations of 
Contracting Parties with 
regard to their Flag 
Vessels Operating in the 
Convention Area "1. Each Contracting Party shall prohibit fishing by its flag vessels in the Convention Area ex cept pursuant to a licence that the Contracting Party has 
issued setting forth the specific areas, species and time periods for which such fishing is authorised and all other specific c onditions to which the 
fishing is subject to give effect to CCAMLR conservation measures and requirements under the Convention…". 
Æ Requires a Contracting Party to prohibit its flag vessels from fishing in the Convention Area unless licensed or permitted to d o so.  The licence 
should be carried on board and must include conditions of time ly notification of port entry and exit and movement between sub-a reas or divisions, 
reporting of catch data and operation of an automated satellite-li nked vessel monitoring system (VMS).  Any infringement of the se conditions 
discovered upon port arrival, departure or upon inspection in the Convention Area on high seas (see below IV.  Non-Compliance M echanism) or, 
where appropriate, in an EEZ, are to  be investigated and dealt with in accordance with national legislation. 
10-05 (2006) 
Catch Documentation 
Scheme for Dissostichus  
spp. Species toothfish "…2. Each Contracting Party shall take steps to identify the origin of Dissostichus  spp. imported into or exported from its territories and to determine 
whether Dissostichus  spp. harvested in the Convention Area that is imported into or  exported from its territories was caught in a manner consistent  
with CCAMLR conservation measures. 3. Each Contracting Party shall require that  each master or authorised representative of  its flag vessels authorised to engage in harvesting of 
Dissostichus eleginoides  and/or Dissostichus ma wsoni complete a Dissostichus  catch document (DCD) for the catch  landed or transhipped on each 
occasion that it lands or tranships Dissostichus  spp. 
4. Each Contracting Party sha ll require that each landing of Dissostichus  spp. at its ports and each transhipment of Dissostichus  spp. to its vessels be 
accompanied by a completed DCD.... 
5. Each Contracting Party shall, in accord ance with their laws and regulations, requir e that their flag vessels which intend to  harvest Dissostichus  
spp., including on the high seas outside th e Convention Area, are provided  with specific authorisation to do so.  Each Contract ing Party shall provide 
Dissostichus  catch document forms to each of its flag vessels authorised to harvest Dissostichus  spp. and only to those vessels. 
6. A non-Contracting Party seeking to cooper ate with CCAMLR by participating in this  scheme may issue DCD forms, in accordance with the 
procedures specified in paragraph 7 and Annex 10-05/C, to any of its flag vessels that intend to harvest Dissostichus  spp. … 
10. Each Contracting Party shall require that each shipment of Dissostichus  spp. imported into or exported from its territory be accompanied by the 
export-validated DCD(s) and, where appropriate, validated re-export document(s) that account for all the Dissostichus  spp. contained in the 
shipment. …". 
Æ This Conservation Measure was adopted in November 1999 and came  into force on 7 May 2000.  This measure establishes a Catch 
Documentation Scheme which tracks the landings and trade flows of toothfish ( Dissostichus  spp.) caught in the Convention Area and where 
possible, adjacent waters. 
Æ Further trade-related measures are contained in Conservation Measures 10-06 (2006) and 10-07 (2006) (see below:  IV. Non-Compl iance 
Mechanisms and VI. Provisions for Non-Parties). 
  
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1. Provisions of the Protocol 
Article 2 
Control Measures "…5. Any Party may, for one or more control periods, transfer to another Party any portion of its calculated level of productio n set out in Articles 2A 
to 2F, and Article 2H, provided that the total combined calculated levels of production of the Parties concerned for any group of controlled 
substances do not exceed the production limits set out in those Articles for that group.  Such transfer of production shall be notified to the Secretariat 
by each of the Parties concerned, stating the terms of su ch transfer and the period for which it is to apply.  
5 bis. Any Party not operating under paragraph 1 of Article 5 may, for one or more control periods, transfer to another such Pa rty any portion of its 
calculated level of consumption set out in Article 2F, provided that the calculated level of consumption of controlled substanc es in Group I of 
Annex A of the Party transferring the portion of its calculated level of consumption did not exceed 0.25 kilograms per capita i n 1989 and that the 
total combined calculated levels of consumption of the Partie s concerned do not exceed the consumption limits set out in Articl e 2F.  Such transfer of 
consumption shall be notified to the Secretar iat by each of the Parties concerned, sta ting the terms of such transfer and the p eriod for which it is to 
apply.  
6. Any Party not operating under Article 5,  that has facilities for the production of Annex A or Annex B controlled substances under construction, or 
contracted for, prior to 16 September  1987, and provided for in national legislation prior to 1 January 1987, may add the prod uction from such 
facilities to its 1986 production of such substances for the purp oses of determining its calculated level of production for 198 6, provided that such 
facilities are completed by 31 December 1990 and that such production does not raise th at Party’s annual calculated level of co nsumption of the 
controlled substances above 0.5 kilograms per capita. 
7. Any transfer of production pursuant to paragraph 5 or any addition of production pursuant to paragraph 6 shall be notified t o the Secretariat, no 
later than the time of the transfer or addition. 8. (a) Any Parties which are Member States of a regional economic integration organization as defined in Article 1(6) of the Co nvention may agree 
that they shall jointly fulfil their obligations respecting consum ption under this Article and Articles 2A to 2I provided that their total combined 
calculated level of consumption does not exceed the leve ls required by this Artic le and Articles 2A to 2I. 
(b) The Parties to any such agr eement shall inform the Secretariat of the terms of the agreement before the date of the reducti on in consumption 
with which the agreement is concerned.  (c) Such agreement will become operative only if all Member Stat es of the regional economic integration organization and the or ganization 
concerned are Parties to the Protocol and have notified the Secretariat of their manner of implementation.  
9. (a) Based on the assessments made pursuant to Article 6, the Parties may decide whether: 
(i) Adjustments to the ozone depleting potentials specified in Annex A, Annex B, Annex C and/or Annex E should be made and, if so, what the 
adjustments should be;  and 
(ii) Further adjustments and reductions of production or consumption of the controlled substances should be undertaken and, if so, what the 
scope, amount and timing of any such adjustments and reductions should be; 
(b) Proposals for such adjustment s shall be communicated to the Parties by the S ecretariat at least six months before the MOP a t which they are 
proposed for adoption; (c) In taking such decisions, th e Parties shall make every effort to reach agreement by consensus.   If all efforts at consensus  have been exhausted, 
and no agreement reached, such decisions shall,  as a last resort, be adopted by a two- thirds majority vote of the Parties prese nt and voting 
representing a majority of the Parties operating under Paragraph 1 of Article 5 present and voting and a majority of the Partie s not so operating 
present and voting; 
(d) The decisions, which shall be binding on all Parties, shall forthwith be communicated to the Parties by the Depositary.  Un less otherwise 
provided in the decisions, they shall enter into force on the ex piry of six months from the date of the circulation of the comm unication by the 
Depositary. 
10. Based on the assessments made pursuant to Article 6 of this Protocol and in accordance with the procedure set out in Articl e 9 of the Convention,  
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(a) whether any substances, and if so which, should be added to or removed from any annex to this Protocol, and 
(b) the mechanism, scope and timing of the control m easures that should apply to those substances;   
11. Notwithstanding the provisions contained in this Article and Articles 2A to 2I Parties may take more stringent measures tha n those required by 
this Article and Articles 2A to 2I". 
Articles 2A-2I Æ Articles 2A to 2I provide specific guidance on control measures for CFCs, Halons, other fully halogenated CFCs, Carbon tetrach loride, Methyl 
chloroform, hydrochlorofluorocarbons, hydrobromofluorocarbons, methyl bromide, and bromochloromethane.  
 
 
Article 4 
Control of trade with 
non-Parties  "1. As of 1 January 1990, each party shall ban the import of the controlled substances in Annex A from any State not party to t his Protocol. … 
2. As of 1 January 1993, each Party shall ban the export of any controlled substances in Annex A to any State not party to this  Protocol. … 
3. By 1 January 1992, the Parties shall, following the procedures in Article 10 of the Convention, elaborate in an annex a list  of products containing 
controlled substances in Annex A.  Parties that have not objected to the annex in acco rdance with those procedures shall ban, w ithin one year of the 
annex having become effective, the import of those products from any State not party to this Protocol. … 4. By 1 January 1994, the Parties shall determine the feasibility of  banning or restricting, from States not party to this Prot ocol, the import of 
products produced with, but not containing, controlled substances  in Annex A.  If determined feasible, the Parties shall, follo wing the procedures in 
Article 10 of the Convention, elaborate in an annex a list of such products.  Parties that have not objected to the annex in ac cordance with those 
procedures shall ban, within one year of the annex having beco me effective, the import of thos e products from any State not par ty to this Protocol. … 
5. Each Party undertakes to the fullest practicable extent to discourage the export to any State not party to this Protocol of technology for producing 
and for utilizing controlled substances in Annexes A, B, C and E. 
6. Each Party shall refrain from providing new subsidies, aid, credits, guarantees or insurance programmes for the export to St ates not party to this 
Protocol of products, equipment, plants or technology that wo uld facilitate the production of controlled substances in Annexes A, B, C and E. 
7. Paragraphs 5 and 6 shall not apply to products, equipment, plants or technology that improve the containment, recovery, recy cling or destruction 
of controlled substances, promote the development of alternative substances, or otherwise contribute to the reduction of emissi ons of controlled 
substances in Annexes A, B, C and E. 8. Notwithstanding the provisions of this Article, imports and exports referred to in paragraphs 1 to 4 ter of this Article may  be permitted from, or to, 
any State not party to this Protocol, if that State is determined, by a [MOP], to be in full compliance with Article 2, Article s 2A to 2I and this Article, 
and have submitted data to that effect as specified in Article 7. 9. For the purposes of this Article, the term "State not party to this Protocol" shall include, with respect to a particular co ntrolled substance, a State or 
regional economic integration organization that has not agreed to be bound by the control measures in effect for that substance . 
10. By 1 January 1996, the Parties shall cons ider whether to amend this Protocol in order to extend the measures in this Articl e to trade in controlled 
substances in Group I of Annex C and in Annex E with States not party to the Protocol". 
Æ Article 4 provides for measures that are directed against non-par ties.  Trade measures under Article 4 are as follows: 
(a) Control of trade in ODS with non-parties:   
(i) Annex A substances (mainly CFCs and halons):  import from non-parties banned from January 1990, export banned from January 1993; 
(ii) Annex B substances (carbon tetrachloride, methyl chloroform and other CFCs):  import and export banned from August 1993 fo r non-
parties to the London Amendment; (iii) Annex C – Group II  (HBFCs):  import and export banned fr om June 1995 for non-parties to the Copenhagen Amendment (1992).   
(iv) Annex C – Group I (HCFCs):  import and export banned for non-parties to the Beijing Amendment (1999) from 1 January 2004.  Trade 
also banned in HCFCs with countries that have not yet ratified the Copenhagen Amendment (1992), which introduced the HCFC phase  out. 
(v) Annex C – Group III (Bromochloromethane):  Import and export banned for non-parties to the Beijing Amendment (1999) after 
February 2003.  
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(1997).  
(b) Control of trade in products containing ODS with non-parties:  Import of products (listed in Annex D) containing Annex A su bstances banned 
from May 1992;   
(c) Exports of ODS-technologies:  Parties are discouraged "to the fullest practicable extent", export of technology for produci ng ODS;  however, 
there are exceptions for HCFCs and for e quipment or technology to recycle ODS. 
 
 
 
Article 4A 
Control of trade with 
Parties "1. Where, after the phase-out date applicable to it for a controlled substance, a Party is unable, despite having taken all pr acticable steps to comply 
with its obligation under the Protocol, to cease production of that substance for domestic consumption, other than for uses agr eed by the Parties to be 
essential, it shall ban the export of used, recycled and reclai med quantities of that substance, other than for the purpose of destruction. 
2. Paragraph 1 of this Article shall apply without prejudice to the operation of Article 11 of the Convention and the non-compl iance procedure 
developed under Article 8 of the Protocol".  
Article 4B 
Licensing "1. Each Party shall, by 1 January 2000 or within three months of the date of entry into force of this Article for it, whicheve r is the later, establish and 
implement a system for licensing the import and export of new, us ed, recycled and reclaimed cont rolled substances in Annexes A,  B, C and E. 
2. Notwithstanding paragraph 1 of this Article, any Party operating under paragraph 1 of Article 5 which decides it is not in a  position to establish 
and implement a system for licensing the import and export of controlled substances in Annexes C and E, may delay taking those actions 
until 1 January 2005 and 1 January 2002, respectively. 
3. Each Party shall, within three months of the date of introducing its licensing system, report to the Secretariat on the esta blishment and operation of 
that system. 
4. The Secretariat shall periodically prepare and circulate to all Parties a list of th e Parties that have reported to it on th eir licensing systems and shall 
forward this information to the Implementation Committee for consideration and appropriate r ecommendations to the Parties". 
Æ Many parties already have licensing system s in place as a method of complying with th e controls of consumption and production of ODS.  This 
licensing requirement is binding since November 1999.  As of 25 January 2006, 107 Parties to the Montreal Amendment to the Mont real Protocol, 
and 37 Parties that are Parties to the Montreal Protocol but have not yet ratified the Montreal Amendment had already establish ed licensing systems 
for ODS.  Decision XVII/23  of the Seventeenth MOP encouraged all the remaining Partie s to the Montreal Amendment that had not yet introduced 
import and export licensing systems to do so as a matter of urgency. 
2. Decisions of the Meetings of the Parties 
25. Examples of decisions adopted at the Meetings of the Parties (MOP) include the following: 
MOP V  
Bangkok, 1993 Æ It was decided at MOP V that it was not feasible to ban or restrict the import of products made with, but not containing Annex  A substances 
(CFCs and halons)( Decision  V/17 ). 
 
MOP IX  
Montreal, 1997 Æ MOP IX introduced, through the Montreal Amendment, inter alia , trade controls for methyl bromid e (Annex E) with non-parties:   
- From November 2000, each Party shall ban th e import, and after November 2000, the export, of methyl bromide from any State not Party to the 
Montreal Amendment.  
- Parties are to discourage the export to non-parties of technology for producing or for utilising methyl bromide.   
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Page 60 - Each Party shall refrain from providing any assistance for the ex port to non-parties of any equipment or technology that would facilitate 
production of methyl bromide. 
MOP XIV  
Rome, 2002 Æ MOP XIV adopted two trade-related decisions: 
- Decision XIV/7  on monitoring of trade in ozone-depleting substances an d prevention of illegal trade in ozone-depleting substances, inter alia , 
encourages all Parties to exchange information and intensify jo int efforts to improve means of identifying ODS and preventing i llegal trade in 
ODS.  The decision also invites Parties to report to the Ozon e Secretariat fully proved cases of  illegal trade in ODS and the S ecretariat is 
requested to collect any information on illegal tr ade received from the Parties and to  disseminate it to all Parties.  
- Decision XIV/36  on the report on licensing system takes note of the status report for parties that have established licensing systems and 
encourages those Parties that have not yet done so to  establish import and export licensing systems of ODS. 
Æ MOP XIV also adopted Decision XIV/11 on the relationship between the Montreal Protocol and the WTO:  
"1. To request the Ozone Secretariat to report to the Parties to  the Montreal Protocol on any meetings it attends at the WTO an d any substantive 
contacts with the WTO Secretaria t and its Committee Secretariats; 
2. To request the Secretariat to monitor developments in the ne gotiations of the WTO CTE in special session and report to the P arties;   
3. To further request that the Ozone Secr etariat, in coordination with  the Multilateral Fund Secretariat, when called upon to p rovide general advice to 
the WTO on trade provisions of the Montreal Protocol and activ ities of the Multilateral Fund, consult with the Parties of the M ontreal Protocol and 
the Executive Committee before providing this advice.  If the Ozone Secretariat is asked for interpretations of the Protocol’s trade provisions, the 
Secretariat should refer the matter to th e Parties before providing that advice".  
MOP XV 
Nairobi, 2003 Decision XV/20  on the report on licensing system takes note of the status re port for parties that have established licensing systems and enco urages 
those Parties that have not yet done so to establish import and export licensing systems of ozone-depleting substances.  
MOP XVI 
Prague, 2004 Æ MOP XIV adopted five trade-related decisions: 
- Decision XVI/7  on trade in products and commodities treated with methyl brom ide invites the Parties to the Montreal Protocol, subject to 
rights and obligations under this agreement and any other intern ational agreements, not to restri ct trade in pr oducts or commod ities from Parties 
that have ratified the Montreal Protocol provisions regarding methyl bromide and are otherwise in compliance with their Montrea l Protocol 
obligations just because th e commodities or products have been treated with me thyl bromide, or becaus e the commodities have bee n produced 
or grown on soil treated with methyl bromide.  
- Decision XVI/11  on the coordination among UN bodies on quarantine and pre-shipment uses inter alia  encourages the importing Parties to 
consider accepting the wood packaging treated with alternative methods to methyl bromide, in acco rdance with standa rd 15 of the  International 
Standards for Phytosanitary Measures of the IPPC.  
- Decision XVI/32  on the establishment of licensing systems under Article 4B of the Montreal Protocol inter alia  encourages the Parties to 
establish import and export licensing systems for ODS.  
- Decision XVI/33  on illegal trade in ODS noted the need for coordination of effort s by parties at national and international level to suppress 
illegal trade in ODS and requested draft terms for a study on the feasibility of developing a system of tracking trade in ODS.  
ÆPursuant to this Decision, a workshop of experts was convened in 2005 to develop specific ideas and a conceptual framework of c ooperation 
to address illegal trade in ODS.   
- Decision XVI/34  on the cooperation between the secretariat of the Montreal protocol and other related conventions and international 
organizations requested the secretariat to enhance its cooperation with, inter alia , the WTO, as well as report on and monitor developments in 
the WTO.  
MOP XVII 
Dakar, 2005 Æ MOP XVII adopted several trade-related decisions: 
- Decision XVII/16 on preventing illegal trade in controlled ODS approved the terms of reference for a study on the feasibility of developing an  
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September 2006, and is available at http://ozone.unep.org/Meeting_ Documents/mop/18mop/ODS-Tracking-September-2006.pdf).  In add ition, 
the Decision urged all Parties, including regional integration organizations, to implement fully their obligations under Articl e 4B of the Montreal 
Protocol, in particular the licensing systems for the control of imports, exports, and re-exports (exports of previously import ed substances).  The 
Decision also proposed to consider additional control measures with regard to the use of controlled ODS in particular sectors o r in particular 
applications. 
- Decision XVII/23 on establishing licensing systems under Article 4B of the Protocol noted that 107 Parties to the Montreal Amendment to the 
Montreal Protocol, and 37 Parties that are Parties to the Montreal Protocol but have not yet ratified the Montreal Amendment ha d already 
established licensing systems for ODS.  Th e Decision encouraged all the remaining Par ties to the Montreal Amendment that had no t yet 
introduced import and export licensing systems to do so as a matter of urgency. 
- Decision XVII/25 on non-compliance noted Armenia's non-compliance with the Montreal Protocol (exceeded the Party' maximum allowable 
consumption level of methyl bromide), and warned that if Armeni a fails to return to compliance in a timely manner, the MOP will  consider 
measures, which can include ensuring that th e supply of methyl bromide be "ceased so  that exporting Parties are not contributin g to a continuing 
situation of non-compliance." 
- Decision XVII/26 on non-compliance  noted that Azerbaijan has failed to enforce its newly introduced ban on the import of CFCs due to its lack 
of expertise in the tracking of this subs tance, and requested ex porting Parties to assist Azerbaijan to comply with its commitm ent.   
ÆSimilar decisions that noted non-compliance by other Parties include the following: 
- Non-compliance with the phase-ou t commitment for methyl chloroform: Decision XVII/27 (Bangladesh); Decision XVII/28 (Bosnia and  
Herzegovina); Decision XVII/31 (Ecu ador); Decision VII/29 (Chile)  
- Non-compliance with the phase-out commitment for CFCs: D ecision XVII/32 (Federated States of Micronesia)  
- Non-compliance with the phase-out commitment for methyl bromide:  Decision XVII/33 (Fiji); Decisi on XVII/34 (Honduras); Decision  XVII/37 
(Libyan Arab Jamahiriya);  Decision VII/29 (Chile) 
- Non-compliance with the phase-out commitment for halons: Decision XVII/36 (Kyrgyzstan); Decision XVII/37 (Libyan Arab Jamahiriy a); 
Decision XVII/38  (Sierra Leone). 
F. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL  
1. Provisions of the Convention 
Article 3 
National Definitions of 
Hazardous Wastes "1. Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the  wastes, other than 
those listed in Annexes I and II, considered or defined as hazardous under its na tional legislation and of any requirements con cerning transboundary 
movement procedures applicable to such wastes. 2. Each Party shall subsequently inform the Secretariat of any significant changes to the information it has provided pursuant to paragraph 1. 
3. The Secretariat shall forthw ith inform all Parties of the information it has received pursuant to paragraphs 1 and 2. 
4. Parties shall be responsible for making the information transmitted to them by the Secretariat under paragraph 3 available t o their exporters". 
Article 4 
General Obligations "1. (a) Parties exercising their right to prohibit the import of h azardous wastes or other wastes for disposal shall inform the  other Parties of their 
decision pursuant to Article 13. 
(b) Parties shall prohibit or shall not permit  the export of hazardous wa stes and other wastes to the Parties which have prohib ited the import of 
such wastes, when notified pursuant to subparagraph (a) above. (c) Parties shall prohibit or shall not permit the export of hazardous wastes and other wastes if the State of import does not consent in writing to the  
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2. Each Party shall take the appropriate me asures to…(d) Ensure that the transboundary move ment of hazardous wastes and other w astes is reduced 
to the minimum consistent with the environmentally sound and effi cient management of such wastes, and is conducted in a manner which will 
protect human health and the environment against the adverse effects which may result from such movement; 
(e) Not allow the export of hazardous wastes or other wastes to a State or group of St ates belonging to an economic and/or poli tical integration 
organization that are Parties, particularly developing countries, which have prohibited by their legislation all imports, or if  it has reason to believe 
that the wastes in question will not be managed in an environmen tally sound manner, according to criteria to be decided on by t he Parties at their 
first meeting. 
(f) Require that information about a proposed  transboundary movement of hazardous wastes  and other wastes be provided to the St ates concerned, 
according to Annex V (A), to state clearly the effects of the proposed move ment on human health and the environment; 
(g) Prevent the import of hazardous wastes and other wastes if it  has reason to believe that the wastes in question will not be  managed in an 
environmentally sound manner; (h) Co-operate in activities with other Parties and interested or ganizations, directly and through  the Secretariat, including t he dissemination of 
information on the transboundary movement of hazardous wastes and other wastes, in order to improve the environmentally sound m anagement of 
such wastes and to achieve the prevention of illegal traffic; ... 
5. A Party shall not permit hazardous wastes or other wastes to be  exported to a non-Party or to be imported from a non-Party. 
6. The Parties agree not to allow the export of hazardous wastes or other wastes for disposal within the area south of 60° Sout h latitude, whether or 
not such wastes are subject to transboundary movement. 
7. Furthermore, each Party shall: 
(a) Prohibit all persons under its national ju risdiction from transporting or disposing of hazardous wastes or other wastes unl ess such persons are 
authorized or allowed to perform such types of operations; 
(b) Require that hazardous wastes and other wa stes that are to be the subject of a tr ansboundary movement be packaged, labelled , and transported 
in conformity with generally accepted and r ecognized international rules and standards in the field of packaging, labelling, an d transport, and that 
due account is taken of relevant internationally recognized practices; 
(c) Require that hazardous wastes and other wastes be accompanied  by a movement document from the point at which a transboundar y movement 
commences to the po int of disposal. 
8. Each Party shall require that hazardous wastes or other wastes, to be exported, ar e managed in an environmentally sound mann er in the State of 
import or elsewhere.  Technical guidelines for the environmentally sound management of wastes subject to this Convention shall be decided by the 
Parties at their first meeting. 9. Parties shall take the appropriate measures to ensure that the transboundary movement of hazardous wastes and other wastes o nly be allowed if: 
(a) The State of export does not have th e technical capacity and the necessary facilitie s, capacity or suitable disposal sites in order to dispose of the 
wastes in question in an environmentally sound and efficient manner;  or (b) The wastes in question are required as a raw material for recycling or recovery industries  in the State of import;  or 
(c) The transboundary movement in question is  in accordance with other criteria to be decided by the Parties, provided those cr iteria do not differ 
from the objectives of this Convention. 
10. The obligation under this Convention of States in which hazardous wastes and other wastes are generated to require that tho se wastes are 
managed in an environmentally sound manner may not under any circumstances be transferred to the States of import or transit. 
11. Nothing in this Convention shall prevent a Party from imposin g additional requirements that are consistent with the provisi ons of this 
Convention, and are in accordance w ith the rules of international law, in order better to protect human health and the environm ent. 
12. Nothing in this Convention sh all affect in any way the sove reignty of States over their territorial sea established in acco rdance with international 
law, and the sovereign rights and the jurisdiction which States have in their exclusive economic zones and their continental sh elves in accordance 
with international law, and the exercise by  ships and aircraft of all States of navigational rights and freedoms as provided fo r in international law and 
as reflected in relevant international instruments …".   
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Designation of 
Competent Authorities 
and Focal Point "To facilitate the implementation of this Convention, the Parties shall: 
1. Designate or establish one or more competent authorities and one focal point.  One competent authority shall be designated t o receive the 
notification in case of a State of transit …".  
Article 6 
Transboundary 
Movement between 
Parties Æ Article 6 provides for the prior informed consent procedure or "control system", according to wh ich the transboundary movements  of hazardous 
wastes shall take place.  
"1. The State of export shall notify, or shall require the gene rator or exporter to notify, in writing, through the channel of the competent authority of 
the State of export, the competen t authority of the States concerned of any proposed transboundary movement of hazardous wastes  or other wastes.  
Such notification shall contain th e declarations and information specified in A nnex V A, written in a language acceptable to th e State of import.  
Only one notification needs to be sent to each State concerned. 2. The State of import shall respond to the notifier in writing, consenting to the movement with or without conditions, denying  permission for the 
movement, or requesting additional information.  A copy of the fi nal response of the State of import shall be sent to the compe tent authorities of the 
States concerned which are Parties. 3. The State of export shall not allow th e generator or exporter to commence the tr ansboundary movement until it has received w ritten confirmation 
that: 
(a) The notifier has received the written consent of the State of import;  and 
(b) The notifier has received from the State of import confirmation of the existence of a contract  between the exporter and the  disposer specifying 
environmentally sound management of the wastes in question. 
4. Each State of transit which is a Party shall promptly acknow ledge to the notifier receipt of the notification.  It may subse quently respond to the 
notifier in writing, within 60 days, consenting to the movement with or without conditions, denying permission for the movement , or requesting 
additional information.  The State of export shall not allow the transboundary movement to commence until it has received the w ritten consent of the 
State of transit.  However, if at any time a Party decides not  to require prior written consent, either generally or under spec ific conditions, for transit 
transboundary movements of hazard ous wastes or other wastes, or modifies its re quirements in this respect, it shall forthwith i nform the other Parties 
of its decision pursuant to Article 13.  In  this latter case, if no response is receive d by the State of export within 60 days of the receipt of a given 
notification by the State of transit, the State of export may allow the export to proceed through the State of transit. 
5. In the case of a transboundary movement of wastes where the wa stes are legally defined as or considered to be hazardous wast es only: 
(a) By the State of export, the requirements  of paragraph 9 of this Article that apply to the importer or disposer and the Stat e of import shall apply 
mutatis mutandis to the exporter and State of export, respectively; 
(b) By the State of import, or by the States of import and transit which are Parties, the requirements of paragraphs 1, 3, 4 an d 6 of this Article that 
apply to the exporter and State of export shall apply mutatis mutandis to the importer or disposer and State of import, respect ively;  or 
(c) By any State of transit which is a Party, the pr ovisions of paragraph 4 shall apply to such State. 
6. The State of export may, subject to the written consent of the States concerned, allow the generator or the exporter to use a general notification 
where hazardous wastes or other wastes havi ng the same physical and chemical character istics are shipped regularly to the same disposer via the 
same customs office of exit of the State of export via the same customs office of entry of the St ate of import, and, in the cas e of transit, via the same 
customs office of entry and exit of the State or States of transit. 
7. The States concerned may make their written consent to the us e of the general notification referred to in paragraph 6 subjec t to the supply of 
certain information, such as the exact quantities or periodical lists of hazardous wastes or other wastes to be shipped. 
8. The general notification and written consent referred to in paragraphs 6 and 7 may cover multiple shipments of hazardous was tes or other wastes 
during a maximum period of 12 months. 9. The Parties shall require that each person who takes charge of  a transboundary movement of h azardous wastes or other wastes sign the movement 
document either upon delivery or receipt of the wastes in question.  They shall also require that the disposer inform both the exporter and the 
competent authority of the State of export of receipt by the disposer of th e wastes in question and, in due course, of the comp letion of disposal as  
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Page 64 specified in the notification.  If no such information is received within the State of  export, the competen t authority of the S tate of export or the 
exporter shall so notify the State of import. 
10. The notification and response required by this Article sha ll be transmitted to the competent authority of the Parties conce rned or to such 
governmental authority as may be ap propriate in the case of non-Parties. 
11. Any transboundary movement of hazardous wastes or other wastes shall be covered by insurance, bond or other guarantee as ma y be required by 
the State of import or any State of transit which is a Party". 
Article 8 
Duty to Re-import "When a transboundary movement of hazardous wastes or other wastes to which the consent of the States concerned has been given,  subject to the 
provisions of this Convention, cannot be completed in accordan ce with the terms of the contract , the State of export shall ensu re that the wastes in 
question are taken back into the State of export, by the exporter , if alternative arrangements cannot be made for their disposa l in an environmentally 
sound manner, within 90 days from the time that the importing Stat e informed the State of export and the Secretariat, or such o ther period of time as 
the States concerned agree.  To this end, the State of export  and any Party of transit shall not oppose, hinder or prevent the return of those wastes to 
the State of export." 
Æ There is a duty to re-import if waste cannot be disposed of in an environmentally sound manner. 
Article 9 
Illegal Traffic "1. For the purpose of this Conven tion, any transboundary movement of  hazardous wastes or other wastes: 
(a) without notification pursuant to the provisions of this Convention to all States concerned;  or 
(b) without the consent pursuant to the provisions  of this Convention of a State concerned;  or 
(c) with consent obtained from States concerned thro ugh falsification, misrepre sentation or fraud;  or 
(d) that does not conform in a material way with the documents;  or 
(e) that results in deliberate disposal (e .g. dumping) of hazardous wastes  or other wastes in contra vention of this Convention and of general 
principles of international law, 
shall be deemed to be illegal traffic. 
2. In case of a transboundary movement of hazardous wastes or other wastes deemed to  be illegal traffic as the result of conduc t on the part of the 
exporter or generator, the State of export shall ensure that the wastes in question are: 
(a) taken back by the exporter or the generator or, if necessa ry, by itself into the State of  export, or, if impracticable, 
(b) are otherwise disposed of in accordance with the provisions of this Convention,  
within 30 days from the time the State of export has been info rmed about the illegal traffic or such other period of time as St ates concerned may 
agree.  To this end the Parties concerned shall not oppose, hinde r or prevent the return of thos e wastes to the State of export . 
3. In the case of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of co nduct on the part of the 
importer or disposer, the State of import shall ensure that the wastes in question are disposed of in an environmentally sound manner by the importer 
or disposer or, if necessary, by itself within 30 days from th e time the illegal traffic has come to the attention of the State  of import or such other 
period of time as the States concerned may agree.  To this end,  the Parties concerned shall co-operate, as necessary, in the di sposal of the wastes in 
an environmentally sound manner. 
4. In cases where the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the i mporter or disposer, the 
Parties concerned or other Parties, as appr opriate, shall ensure, through co-operation,  that the wastes in question are dispose d of as soon as possible 
in an environmentally sound manner either in the State of export or the State of import or  elsewhere as appropriate. 
5. Each Party shall introduce appropriate national/domestic legisl ation to prevent and punish illegal traffic.  The Parties sha ll co-operate with a view 
to achieving the objects of this Article". 
2. Decisions of the Conference of Parties 
26. The following are examples of trade-related decisions adopt ed at meetings of the COP of the Basel Convention:  
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Geneva, 1994 Æ At COP-2, parties agreed to a ban on th e export of hazardous wastes from OECD to non-OECD countries intended for final disposa l, recovery, 
and recycling (Decision II/12).  Because th e decision was not incorporated in the text  of the Convention itself, the question a s to whether it was 
legally binding or not arose.  
COP-3 
Geneva, 1995 Æ At COP-3, it was proposed that the Ban be formally incorporated in the Basel Conv ention as an amendment (Decision III/1).  If and when the ban 
comes into force (The Ban Amendment has 63 Parties as of Decembe r 2006), the amendment would insert in the Convention a new Art icle 4A(2) 
which would: 
• prohibit all transbou ndary movements of hazardous wastes destined for final disposal  from Parties listed in Annex VII (consisting of members 
of OECD, EC and Liechtenstein) to states not listed in Annex VII, and 
• prohibit all transboundar y movements of hazardous wastes under  Art 1, para 1(a) destined for recovery operations , from Annex VII states to 
non-Annex VII states. 
COP-4 
Kuching, 1998 Æ At COP-4, there was a discussion concerning other countries wishing to join Annex VII.  These countries are Monaco, Slovenia a nd Israel.  
However, it was decided to wait and see how the ban was functioni ng and to leave Annex VII unchanged until its entry into force .  A decision could 
then be made as to whether to close Annex VII or to have open criteria.  This issue was raised again at COP-5.  
Æ Annexes VIII and IX of the Convention, adopted at COP-4, clarify what is and what is not considered to be hazardous waste.  No n-hazardous 
material is listed in Annex IX (list B) wastes.  Many of the r ecyclable materials such as copper , zinc (and their products) and  other precious metals 
are in Annex IX and are not considered haza rdous unless they have been contaminated.  Further clarif ication is needed for some wastes, such as lead 
acid and zinc ashes (as these would be co nsidered hazardous waste under Basel).  
COP-5 
Basel, 1999 Æ At COP-5, the Basel Declaration on Enviro nmentally Sound Management was adopted.  This Declaration outlines the activities to be 
undertaken to achieve the objectives of the practical implementation of environmentally sound management:  prevention, minimiza tion, recycling, 
recovery and disposal of wastes subject to the Convention.   
COP-6 
Geneva, 2002 Æ At COP-6, Decision VI/30 was adopted by the COP on the Cooperation with the WTO: 
"… 1. Requests the secretariat of the Basel Convention to: 
(a) Seek observer status in the [CTE] meet ing in Special Session, and to advise the Parties to the Basel Convention when the re quest has been 
submitted to and granted by [WTO]; (b) Report to the Parties to the Basel Convention on any meetings it attends at [WTO] and any substantive contacts with the [WT O] Secretariat and 
its committee secretariats; 
(c) Monitor developments in the [WTO CTE] meeting in  Special Session and report to the Parties thereon; 
2. Further requests the secretariat of the Basel Convention, wh en called upon to provide general information to [WTO] on trade provisions of the 
Basel Convention, to consult with the Parties to the Basel Conv ention before providing that information.  If the Secretariat of  the Basel Convention is 
requested to provide interpretation on the trade provisions of  the Convention, it will refer such requests to the [COP]."  
COP-7 
Geneva, 2004 Æ The COP-7 adopted a ministerial statement on partnerships for meeting the global waste challenge which sets out strategies for  mobilizing 
additional resources to address hazardous wa stes.  The statement calls for strengthening partnerships with industries and other  international 
organizations and agreements, in particular the Rotterdam Convention on Trade in Hazardous Chemicals and Pesticides and the Sto ckholm 
Convention on Persistent Organic Pollutants.  It also encourages governments to consider setting their own individual or region al targets for 
minimizing wastes.  Decisions VII/2 on Hazardous Waste Minimization, VII/3 Basel Convention Partnership Programme and VII/4 Mob ile Phone 
Partnership Initiative were adopted to meet the global waste challenge.   
Æ Decision VII/38 on  International Cooperation, including cooperation with the WT O and the Global Environment Facility (GEF) "requests the 
Secretariat to continue its cooperation, in accordance with decisions VI/29 and VI/3 0, on critical areas for the effective impl ementation of the Basel 
Convention, its protocol and amendments with relevant organizations, including the following: ... (j) the WTO; …" 
COP-8 Æ COP-8 adopted the Nairobi Ministerial declaration on the envir onmentally sound management of electronic and electrical waste w hich sets out  
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Page 66 Nairobi, 2006 strategies to address e-wastes, and includes the promotion of exchange of information and transfer of best available technologi es for the 
environmentally sound management of e-waste from developed countr ies to developing countries and countries with economies in tr ansition. The 
declaration also addresses the combating and prevention of illega l traffic in e-waste, and enco urages national, regional and gl obal comprehensive 
actions for the environmentally sound management of e-waste, an d end-of-life equipment, through shared responsibilities and com mitments from all 
concerned stakeholders. A decision on the environmentally sound ma nagement of e-waste was also adopted, which mandates the Open -ended 
Working Group to develop a work plan on the environmentally sound management of e-waste, focussing on the needs of developing c ountries and 
countries with economies in transition. The decision, inter alia , urges Parties to collaborate in the prevention and combating of illegal traffic through 
information exchange; tracking and early warning systems; capacity -building, particularly strengthening institutional mechanism s; legal frameworks; 
and control activities. It also requests Parties to ensure that donated electro nic and electrical equipment that is the subject  of transboundary 
movement is not end-of-life equipment. Reports on progress in  the implementation of the decision will be made to COP-9. 
Æ COP 8 adopted a decision requesting the Secretariat to further strengthen cooperation and coordination with other internationa l and regional 
organizations and multilateral environmental agreements in areas of  relevance to the Basel Convention, including the WTO. Moreo ver, the same 
decision requested the Secretaria t to seek observer status with the Committee on Trade and Environment of the WTO and to advise  the Parties to the 
Convention when the request has been submitted to, and granted by, the WTO. 
Æ With respect to the interpretation of article 17, paragraph 5, of the Convention, which provides for the entry into force of a mendments to the 
Convention, COP 8 mandated the Open-ended Working Group to begin work on addressing the issue of interpretation, and to develop  a draft 
decision to reach an agreed interpretation, of article 17, para graph 5, in accordance with inte rnational law for consideration by COP-9. It is noted that 
the entry into force of the ame ndment contained in decision III/1, adopted by COP-3, may be affected by the interpretation of a rticle 17, paragraph 5. 
Æ With respect to the transboundary movement of used and end-of-life mobile phones, COP-8 provisionally adopted a guidance docum ent on the 
environmentally sound management of used and end-of-life mobile phones as a voluntary document, and invited Parties to use and test the guidance 
document, and five guidelines produced under the Mobile Phone Partnership Initiative which had worked during the biennium 2005- 2006. The 
guidance document addresses, inter alia, the transboundary movement of used and end-of-life mobile phones.  
G. CONVENTION ON BIOLOGICAL DIVERSITY  
1. Provisions of the Convention  
27. The text of the Convention does not explicitly refer to trade measures, nor does the Convention generally prescribe specific me asures.  The provisions of 
the Convention, with a few exceptions, set goals and establish ge neral principles.  The specific measures required to achieve t hese goals and operationalize these 
principles are largely the prerogative of the Parties.  However, the Convention contains a number of provisions that are genera lly understood to require measures 
by Parties which may have consequences for trade.  In addition,  some of its provisions have in ter-linkages with some internatio nal trade agreements. 
Article 6 
General Measures for 
Conservation and 
Sustainable Use  "Each Contracting Party shall, in accordance w ith its particular conditions and capabilities:   
(a) Develop national strategies, plans or programmes for the conservation and sustainable use of biological diversity or adapt for this purpose 
existing strategies, plans or programmes which shall reflect, inter alia , the measures set out in this Convention relevant to the Contracting Party 
concerned;  and  
(b) Integrate, as far as possible and as appropriate, the conser vation and sustainable use of biological diversity into relevan t sectoral or cross-
sectoral plans, programmes and policies". 
Article 7(c) 
Identification and 
Monitoring "Each Contracting Party shall, as far as possible and as appropriate, in particular for the purposes of Articles 8 to 10: … 
(c) Identify processes and categories of activities which have or  are likely to have significant adverse impacts on the conserv ation and sustainable 
use of biological diversity, and monitor their effects through sampling and other techniques".  
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In-situ Conservation "Each Contracting Party shall, as fa r as possible and as appropriate: … 
(h) Prevent the introduction of, control or eradicate those alie n species which threaten ecosystems, habitats or species; … 
(j) Subject to its national legislation, respect, preserve and ma intain knowledge, innovations and practices of indigenous and local communities 
embodying traditional lifestyles relevant for the conservation and sustaina ble use of biological dive rsity and promote their wi der application with 
the approval and involvement of the holders of such knowledge, innovations and practices and encourage the equitable sharing of  the benefits 
arising from the utilization of such knowledge, innovations and practices; … (l) Where a significant adverse effect on biological diversity has been determined pursuant to Article 7, regulate or manage th e relevant processes 
and categories of activities;…". 
Article 10 
Sustainable Use of 
Components of Biological 
Diversity "Each Contracting Party shall, as fa r as possible and as appropriate: ... 
(b) Adopt measures relating to the use of biological resources to avoid or minimize adverse impacts on biological diversity; (c) Protect and encourage customary use of biological resources in accordance with traditional cultural practices that are comp atible with 
conservation or sustainable use requirements; …". 
Article 11 
Incentive Measures "Each Contracting Party shall, as far as possible and as approp riate, adopt economically and socially sound measures that act a s incentives for the 
conservation and sustainable use of components of biological diversity". 
Article 14 
Impact Assessment and 
Minimizing Adverse 
Impacts "1. Each Contracting Party, as far as  possible and as appropriate, shall: 
(a) Introduce appropriate procedures requiring environmental impact assessmen t of its proposed projects that are likely to have  significant adverse 
effects on biological diversity with a view to avoiding or minimizing such effects and, where appropriate, allow for public par ticipation in such 
procedures; (b) Introduce appropriate arrangements to ensure that the environmental consequences of its programmes and policies that are li kely to have 
significant adverse impacts on biological diversity are duly taken into account; 
(c) Promote, on the basis of reciprocity, notification, excha nge of information and consultation on activities under their juri sdiction or control 
which are likely to significantly a ffect adversely the biological diversity of othe r States or areas beyond the limits of natio nal jurisdiction, by 
encouraging the conclusion of bilateral, regional or multilateral arrangements, as appropriate; (d) In the case of imminent or grave danger or damage, originating under its jurisdiction or control, to biological diversity w ithin the area under 
jurisdiction of other States or in areas beyond the limits of  national jurisdiction, notify immediately the potentially affecte d States of such danger 
or damage, as well as initiate action to prevent or minimize such danger or damage;  and (e) Promote national arrangements for emergency responses to ac tivities or events, whether caused naturally or otherwise, which  present a grave 
and imminent danger to biological diversity and encourage inte rnational cooperation to supplement such national efforts and, wh ere appropriate 
and agreed by the States or regional economic integration organizations concerned, to establish joint contingency plans. 
2. The [COP] shall examine, on the basis of studies to be ca rried out, the issue of liability and redress, including restoratio n and compensation, for 
damage to biological diversity, except where such liability is a purely internal matter". 
Article 15 
Access to Genetic 
Resources "1. Recognizing the sovereign rights of St ates over their natural resources, the auth ority to determine access to genetic resou rces rests with the 
national governments and is subject to national legislation. 2. Each Contracting Party shall endeavou r to create conditions to facilitate access to  genetic resources for environmentally so und uses by other 
Contracting Parties and not to impose restrictions that run counter to the objectives of this Convention. 
3. For the purpose of this Convention, the genetic resources being provided by a Contracting Party, as referred to in this Arti cle and Articles 16 and 
19, are only those that are provided by Contracting Parties that are countries of origin of such resources or by the Parties th at have acquired the 
genetic resources in accordance with this Convention. 
4. Access, where granted, shall be on mutually agreed  terms and subject to the pr ovisions of this Article. 
5. Access to genetic resources shall be su bject to prior inform ed consent of the Contracting Pa rty providing such resources, un less otherwise 
determined by that Party.  
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Page 68 6. Each Contracting Party shall endeavour to develop and carry ou t scientific research based on genetic resources provided by o ther Contracting 
Parties with the full participation of, and wh ere possible in, such Contracting Parties. 
7. Each Contracting Party shall take legisl ative, administrative or policy measures, as  appropriate, and in accordance with Art icles 16 and 19 and, 
where necessary, through the financial mechanism established by Ar ticles 20 and 21 with the aim of sharing in a fair and equita ble way the results of 
research and development and the benefits arising from the comm ercial and other utilization of genetic resources with the Contr acting Party 
providing such resources.  Such sharing shall be upon mutually agreed terms". 
 
 
Article 16 
Access to and Transfer of 
technology "1. Each Contracting Party, recognizing th at technology includes biotechnology, and that  both access to and tr ansfer of technol ogy among 
Contracting Parties are essential elements for the attainment of the objectives of this  Convention, undertak es subject to the p rovisions of this Article 
to provide and/or facilitate access for and transfer to other Contracting Parties of  technologies that are relevant to the cons ervation and sustainable 
use of biological diversity or make use of genetic resources and do not cause significant damage to the environment. 
2. Access to and transfer of technology referred to in paragraph 1 above to developing countries shall be provided and/or facil itated under fair and 
most favourable terms, including on concessional and preferentia l terms where mutually agreed, and, where necessary, in accorda nce with the 
financial mechanism established by Articles 20 and 21.  In the case of technology subject to patents and other intellectual pro perty rights, such access 
and transfer shall be provided on terms which recognize and are consistent with the adequate and effective protection of intell ectual property rights.  
The application of this paragraph shall be consistent with paragraphs 3, 4 and 5 below. 
3. Each Contracting Party shall take legislative, administrative  or policy measures, as appropri ate, with the aim that Contract ing Parties, in particular 
those that are developing countries, which provide genetic resources are provided access to and transfer of technology which ma kes use of those 
resources, on mutually agreed terms, including technology protected by patents and other intellectual property rights, where ne cessary, through the 
provisions of Articles 20 and 21 and in accordance with inte rnational law and consistent with paragraphs 4 and 5 below. 
4. Each Contracting Party shall take legislative, administrativ e or policy measures, as appropria te, with the aim that the priv ate sector facilitates 
access to, joint development and transfer of technology referred to in paragraph 1 a bove for the benefit of both governmental i nstitutions and the 
private sector of developing countries and in this regard shall abide by the obligations included in paragraphs 1, 2 and 3 abov e. 
5. The Contracting Parties, recognizing that patents and other intellectual property rights may have an influence on the implem entation of this 
Convention, shall cooperate in this regard subject to national le gislation and international law in order to ensure that such r ights are supportive of and 
do not run counter to its objectives". 
Article 19  
Handling of 
Biotechnology and 
Distribution of its 
Benefits "1. Each Contracting Party shall take legislative, administrativ e or policy measures, as appropri ate, to provide for the effect ive participation in 
biotechnological research activities by those Contracting Parties, especially developing  countries, which provide the genetic r esources for such 
research, and where feasible in such Contracting Parties. 
2. Each Contracting Party shall take all practicable measures to promote and advance priority  access on a fair and equitable ba sis by Contracting 
Parties, especially developing countries, to the results and be nefits arising from biotechnologies based upon genetic resources  provided by those 
Contracting Parties.  Such access shall be on mutually agreed terms. 
3. The Parties shall consider the need for and modalities of a protocol setting out appropriate procedures, including, in parti cular, advance informed 
agreement, in the field of the safe transfer, handling and use of any living modified organism resulting from biotechnology tha t may have adverse 
effect on the conservation and sustainable use of biological diversity. 
4. Each Contracting Party shall, directly or by requiring an y natural or legal person under its jurisdiction providing the orga nisms referred to in 
paragraph 3 above, provide any available information about the us e and safety regulations required by that Contracting Party in  handling such 
organisms, as well as any available information on the potentia l adverse impact of the specific organisms concerned to the Cont racting Party into 
which those organisms are to be introduced".  
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Article 22 
Relationship with Other 
International 
Conventions "1. The provisions of this Convention shall not affect the rights and obligations of any Contracting Party deriving from any ex isting international 
agreement, except where the exerci se of those rights and obligations would cause a serious damage or threat to biological diver sity.  
2. Contracting Parties shall implement this Convention with respect  to the marine environment consistently with the rights and obligations of States 
under the law of the sea". 
 
2. Decisions of the Conference of the Parties 
28. Examples of trade-related decisions adopted by the meetings of the Conference of the Parties of the CBD include the following: 
Decision III/18 
Incentive Measures 
(as modified by Decision 
VII/33) "The [COP]…  
2. Resolves that incentive measures shall be  included as appropriate on the agenda of the [COP] and be integrated into the sect oral and thematic 
items under the medium-term programme of work of the [COP]; 
3. Encourages Parties to review their existing legislation an d economic policies, to identify and promote incentive for the con servation and 
sustainable use of components of biological diversity, stressing the importance of taking appropriate action on incentives that  threaten biological 
diversity; 
4. Encourages Parties to ensure adequate incorporation of the ma rket and non-market values of biological diversity into plans, policies and 
programmes and other relevant areas, inter alia , national accounting systems an d investment strategies;... 
6. Encourages Parties to incorporate biological diversity considerations into impact assessments, consistent with Article 14 of  the Convention, as a 
step in the design and implementation of incentive measures; …". 
Decision IV/10 
Measures for 
Implementing the 
Convention on Biological 
Diversity 
(as modified by Decision 
VII/33) "A. Incentive measures:  consideration of mea sures for the implementation of Article 11 
[COP]… 
1. Encourages Parties, Governments and relevant organizations: 
(a) To promote the design and implementati on of appropriate incentive measures, taking  fully into account th e ecosystem approac h and the various 
conditions of the Parties and employing the precautionary approach  of Principle 15 of the Rio Declaration on Environment and De velopment, in 
order to facilitate achieving the implementation of the objectives  of the Convention and to integrate biological diversity conc erns in sectoral 
policies, instruments and projects;... 
 (c) To take into account economic, social, cultural and ethical valuation in the development of relevant incentive measures;.. . 
 (f) To identify perverse incentives and consider the removal or mitigation of their negative effects on biological diversity i n order to encourage 
positive, rather than negative, effects on the conser vation and sustainable use of  biological diversity;... 
 (h) To undertake value addition and enhancement of naturally occurring genetic resources, based on the participatory approach,  where 
appropriate, to work as in centives for their conservation and sustainable use; …". 
Decision IV/15 
The Relationship of the 
Convention on Biological 
Diversity with the 
Commission on 
Sustainable Development 
and Biodiversity-Related 
Conventions, other 
International "The [COP]…  
8. Also notes that some Parties to the [CBD], particularly many developing countries, are not members of the [WTO], and are the refore limited in 
their abilities to present their concerns regarding biological diversity at the [WTO]; 
9. Stresses the need to ensure consistency in implementing the [CBD] and the [WTO] agreements, including the [TRIPS] Agreement,  with a view to 
promoting increased mutual supportiveness and integration of biological diversity concerns and the protection of intellectual p roperty rights, and 
invites the [WTO] to consider how to achieve these objectives in  the light of Article 16, paragraph 5, of the Convention, takin g into account the 
planned review of Article 27, paragraph 3 (b), of the [TRIPS Agreement] in 1999; 
10. Emphasizes that further work is required to help develop a common appreciation of the relationship between intellectual pro perty rights and the 
relevant provisions of the [TRIPS Agreement] and the [CBD], in particular on issues relating to technology transfer and conserv ation and sustainable  
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Page 70 Agreements, Institutions 
and Processes of 
Relevance 
(as modified by Decision 
VII/33) 
 use of biological diversity and the fair and equitable sharing of benefits arising out of the use of genetic resources, includi ng the protection of 
knowledge, innovations and prac tices of indigenous and local communities embodyin g traditional lifestyles relevant for the cons ervation and 
sustainable use of biological diversity …". 
Decision V/16 
Article 8(j) and related 
provisions "The [COP]… 14. Recognizes the potential importance of sui generis  and other appropriate systems for the protection of traditional knowledge of 
indigenous and local communities and the equitable sharing of benef its arising from its use to meet the provisions of the [CBD] , taking into account 
the ongoing work on Article 8(j) and related provisions, and tr ansmits its findings to the [WTO] and the [WIPO], as suggested i n paragraph 6 (b) of 
recommendation 3 of the Inter-S essional Meeting on the Operations of th e Convention (UNEP/CBD/COP/5/4, annex); …" 
Decision V/26  
Access to Genetic 
Resources "B. The relationship between intellectual pr operty rights and the relevant provisions of the Agreement on Trade-related Aspects of 
Intellectual Property Rights and the [CBD] 
The [COP]...2. Invites the [WTO] to acknowledge relevant provisions of the Convention and to take into account the fact that th e provisions of the 
[TRIPS] Agreement and the [CBD] are interrelated an d to further explore this interrelationship;   
3. Requests the Executive Secretar y to transmit the present decision  to the secretariats of the [WTO] and the [WIPO], for use b y appropriate bodies 
of these organizations, and to endeavour to undertake further cooperation and consultation with these organizations;   
4. Renews its request to the Executive Secretary of the Convention to apply for observer status on the [TRIPS Council], and req uests him to report 
back to the [COP] on his efforts …".  
Decision VI/10 
Article 8(j) and related 
provisions "The [COP]… 35. Also requests the Executiv e Secretary to continue to compile informa tion provided by Parties and Governments re lating to 
existing national legislation and other measures for the protec tion of traditional knowledge, innovations and practices;   
36. Invites the [WTO] and the [WIPO] to make available to the Ex ecutive Secretary information refe rred to in paragraph 35 above  provided through 
their respective notification systems; … 
39. Encourages Parties and Governments, where they have not already done so, to take measures to establish or improve operation al links between 
their national governmental intellectual-property bodies, national focal points of the [CBD], and indigenous and local communit ies and their 
organizations in order to better coordinate and institute meas ures to protect their traditional knowledge, innovations and prac tices relevant to the 
conservation and sustainable use of biological diversity, particularly with regard to traditional-knowledge documentation initi atives and community-
based registries of traditional knowledge; … 
46. Invites Parties and Governments to encourage the disclosure of the origin of relevant traditional knowledge, innovations an d practices of 
indigenous and local communities relevant to the conservation and sustainable use of biological diversity in applications for i ntellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
47. Urges Parties and Governments to examine,  as appropriate, relevant provisions of the [CBD] with respect to prior informed c onsent and mutually 
agreed terms where traditional knowledge is us ed in its original form or in the development of new products and/or new applicat ions;  
48. Invites Parties and Governments, with the assistance of the [WIPO], to take into  account traditional knowledge in the exami nation of novelty and 
inventive step in patent applications; …". 
Decision VI/15 
Incentive measures  
Annex I 
Proposals for the Design 
and Implementation of 
Incentive Measures "The [COP]… 2. Endorses the proposals for the design and implem entation of incentive measures an d the recommendations for furth er cooperation 
on incentive measures, contained respectively in annexes I and II to the present decision, as far as  they are consistent with P arties' national policies 
and legislation as well as their international obligations; … 
Annex I:   Proposals for the design and implementation of incentive measures  
1. In general terms, incentive measures should be designed to address the conservation and sustainable use of biological divers ity, while taking into 
account: … 
d) The measures' relationship to existing international agreements. …  
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 Page 712. The following elements should be taken into consideration in the design and implementation of incentive measures for the con servation and 
sustainable use of biological diversity: ... 
E. Guidelines for selecting appr opriate and complementary measures  
36. The following are guidelines for selectin g appropriate and complementary measures:  
a) Any decision-making process for selecti ng appropriate and complementary measures sh ould take into account the specific circu mstances of the 
country involved; b) It is important to consider the context in which the incen tive measure is being introduced to  assist final decision-making o n a particular measure 
or measures; 
c) A key consideration in the design of an incentive measure is the recognition that a single measure will often not suffice to  address the 
complexities involved in decisions on biodiv ersity conservation or sustai nable use, and that a mix of measures may be needed; 
d) Equity considerations, such as poverty alleviation, should be given a prominent role in the design and selection of appropri ate incentive 
measures; e) The implementation of incentive measures should not result in a significant increase in the cost  of living and/or increase i n government revenue; 
f) The size of the country's economy is  an important factor in the selection of financial incentive measures; 
g) Well defined land and property rights are an important factor  in the design and implementation of incentive measures in the conservation of 
biological diversity and the promotion of sustainable use; 
h) Positive incentives can influence decision-making by recogn izing and rewarding activities that are carried out for conservat ion and sustainable 
use purposes; i) The removal of perverse incentives eases pressure on the environment.  The identific ation of both internal and external perv erse incentives and 
other threats to biodiversity conservation and to the promotion of sustainable use, is essential to the selection and design of  incentive measures.  
The removal of perverse incentives  may improve economic efficiency  and reduce fiscal expenditures; 
j) Disincentives continue to be an important tool for ensuring the conservation and sustainable use of biological diversity and  can be used in 
combination with positive incentives …". 
Decision VI/20 
Cooperation with other 
Organizations, Initiatives 
and Conventions 
 Cooperation with the WTO  
"The [COP]...25. Reaffirms the need to promoting increased mutu al supportiveness of trade and en vironment agreements in achievi ng sustainable 
development, as stressed in decision IV/15 of the fourth meeting of the [COP], and reiterated in the Cartagena Protocol on Bios afety and the Doha 
Ministerial Declaration of the [WTO] adopted on 14 November 2001;  26. Notes the Doha Ministerial Declaration, which welcomes a continued cooperation by the [WTO] with [UNEP] and other intergove rnmental 
environmental organizations, and encourages efforts to promote co operation between the [WTO] and relevant international environ mental and 
developmental organizations;  27. Recognizes the importance of cooperation with the [WTO] with re gard to matters that are relevant to the Cartagena Protocol on Biosafety and in 
preparing for the implementation of the Protocol, emphasizes the need to ensure mutual supportiveness with the relevant agreeme nts under the 
[WTO], in particular with the [SPS Agr eement] and the [TBT Agreement], with a vi ew to achieving sustainable development;  
28. Welcomes the practice established between the Executive Secret ary and the [WTO] to exchange information regarding developme nts under the 
Intergovernmental Committee for the Cartagena Protocol on Biosafety;  
29. Requests the Executive Secretar y to apply to the WTO for an observer status and to represent the [CBD] in the meetings of t he [SPS Committee] 
and the [TBT Committee];  
30. Futher requests the Executive Secretary to renew the application to the [WTO] for observer status in the [TRIPS Council]". 
Decision VI/23 
Alien Species that Threaten 
Ecosystems, Habitats or 
Species:  Annex:  Guiding "The [COP]... 4. Having considered these options, adopts the Guiding Principles annexed to the present decision;  
5. Urges Parties, other Governments and relevant organiza tions to promote and implement the Guiding Principles; ... 
15. Urges Parties, Governments, multilateral organizations and othe r relevant bodies to consider the potential effects of globa l change on the risk of 
invasive alien species to biodiversity, and related ecosystem goods and services and, in particular: ...  
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Prevention, Introduction 
and Mitigation of Impacts 
of Alien Species that 
Threaten Ecosystems, 
Habitats or Species  b. Invites the [WTO], through its [CTE], to take this matter into account when considering the impacts of trade and trade liber alization; ... 
Guiding principle 1:  Precautionary approach   
Given the unpredictability of the pathways and impacts on biological diversity of invasive alien species, efforts to identify a nd prevent unintentional 
introductions as well as decisions concerning intentional introduc tions should be based on the precautionary approach, in parti cular with reference to 
risk analysis, in accordance with the guiding principles below.  The precautionary approach is that  set forth in principle 15 o f the 1992 Rio 
Declaration on Environment and Developmen t and in the preamble of the [CBD].  
The precautionary approach sh ould also be applied when consid ering eradication, containment a nd control measures in relation to  alien species that 
have become established.  Lack of scientific certainty about th e various implications of an invasion should not be used as a re ason for postponing or 
failing to take appropriate eradication,  containment and control measures. ... 
Guiding principle 7:  Border control and quarantine measures  
1. States should implement border controls and quarantine measures for a lien species that are or could become invasive to ensur e that:  
a. Intentional introductions of alien species are su bject to appropriate author ization (principle 10);  
b. Unintentional or unauthorized introductions of alien species are minimized.  
2. States should consider putting in place ap propriate measures to contro l introductions of invasive alien species within the S tate according to 
national legislation and policies where they exist.  3. These measures should be based on a risk analysis of the threats posed by alien species and their potential pathways of entr y.  Existing appropriate 
governmental agencies or author ities should be strengthened and broadened as n ecessary, and staff should be properly trained to  implement these 
measures.  Early detection systems and regional and international coordination are essential to prevention …". 
Decision VI/24 
Access and Benefit-
sharing as Related to 
Genetic Resources 
 The Bonn Guidelines adopted by the Conference of the Parties at its sixth meeting are co ntained in annex to decision VI/24, sec tion A.  The 
following sections of the guidelines  may be of particular relevance:  
"A. Bonn Guidelines on Access to Genetic Resources and Fair and Equitable Sharin g of the Benefits Arising out of their Utilizat ion 
I. General Provisions  
1. These Guidelines may serve as inputs when developing and drafting legislative, administrative or policy measures on access a nd benefit-sharing 
with particular reference to provisions under Articles 8(j), 10 (c), 15, 16 and 19;  and contracts and other arrangements under  mutually agreed terms 
for access and benefit-sharing. … 
7.  The present guidelines are voluntary and were  prepared with a view  to ensuring their: 
(a) Voluntary nature:  they are intended to guide both users and providers of genetic resources on a voluntary basis;… 9. All genetic resources and associated traditional knowledge, innovations and practices covered by the [CBD] and benefits aris ing from the 
commercial and other utilization of such resources should be cove red by the guidelines, with the exclusion of human genetic res ources. …  
12. The Guidelines are intended to assist Parties in developi ng an overall access and benefit-sharing strategy, which may be pa rt of their national 
biodiversity strategy and action plan, and in identifying the steps involved in the process of obtaining access to genetic reso urces and sharing 
benefits. 
II. Roles and Responsibilities in Access and Benefit-sharing pursuan t to Article 15 of the [CBD] 
13. Each Party should designate one national focal point for acce ss and benefit-sharing and make such information available thr ough the clearing-
house mechanism.  The national focal point should inform applicants for access to gene tic resources on procedures for acquiring  prior informed 
consent and mutually agreed terms, includi ng benefit-sharing, and on competent nati onal authorities, relevant indigenous and lo cal communities and 
relevant stakeholders, through the clearing-house mechanism. … 
16. Recognizing that Parties and stakeholders may be both users and providers, the following balanced list of roles and respons ibilities provides key 
elements to be acted upon: … 
(b) In the implementation of mutually agreed terms, users should:   
(i) Seek informed consent prior to access to genetic resources, in  conformity with Article 15, pa ragraph 5, of the Convention; …  
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 Page 73(d) Contracting Parties with users of gene tic resources under their jurisdiction should take appropriate legal, administrative,  or policy measures, as 
appropriate, to support compliance with prio r informed consent of the Contracting Party providing such resources and mutually a greed terms on 
which access was granted.  These countries could consider, inter alia , the following measures:  
(i) Mechanisms to provide information to potential users on their obligations regarding access to genetic resources;  
(ii) Measures to encourage the disclosure of the country of origin of the gene tic resources and of the origin of traditional kn owledge, 
innovations and practices of indigenous and local communities in applications for intellectual property rights;  (iii) Measures aimed at preventing the use of genetic resources obtained without the prior informed consent of the Contracting Party providing 
such resources;  
(iv) Cooperation between Contracting Parties to address alle ged infringements of access and benefit-sharing agreements;  
(v) Voluntary certification schemes for institutions ab iding by rules on access and benefit-sharing;  
(vi) Measures discouraging  unfair trade practices;  
(vii) Other measures that encourage users to comply with provisions under subparagraph 16 (b) above. … 
IV. Steps in the Access a nd Benefit-sharing process 
24. As provided for in Article 15 of the [CBD], which recognizes the sovereign rights of States over their natural resources, e ach Contracting Party to 
the Convention shall endeavour to  create conditions to facilitate access to genetic  resources for environm entally sound uses by  other Contracting 
Parties and fair and equitable sharing of be nefits arising from such uses.  In accordan ce with Article 15, paragraph 5, of the [CBD], access to genetic 
resources shall be subject to prior inform ed consent of the contracting Party providing such resources, unless otherwise determ ined by that Party.  
25. Against this background, the Guidelines are intended to assist Parties in the establishment of a system of prior informed c onsent, in accordance 
with Article 15, paragraph 5, of the Convention … . 
D. Mutually agreed terms 
… 
1. Basic requirements for mutually agreed terms 
43.  The following elements should be consid ered as guiding parameters in contractual agreements.  These elements could also be  considered as 
basic requirements for mutually agreed terms:… 
(c)  Provision for the use of intellectual property rights incl ude joint research, obligation to implement rights on inventions  obtained and to provide 
licences by common consent; (d)  The possibility of joint ownership of intellectual pr operty rights according to the degree of contribution.” 
Other sections of decision VI/24 are also  of relevance to the work of the WTO: 
Under Decision VI/24, section C on the Ro le of intellectual property rights in th e implementation of access and benefit-sharing  
arrangements  
The [COP]  
1. Invites Parties and Governments to encourage the disclosure of the country of origin of genetic resources in applications fo r intellectual property 
rights, where the subject matter of the application concerns or makes use of genetic resources in its development, as a possibl e contribution to 
tracking compliance with prior informed cons ent and the mutually agreed terms on whic h access to those resources was granted;  
2. Also invites Parties and Governments to encourage the disclosu re of the origin of relevant traditional knowledge, innovation s and practices of 
indigenous and local communities relevant for the conservation and sustainable use of biological diversity in applications for intellectual property 
rights, where the subject matter of the application concerns or makes use of such knowledge in its development;  
3. Requests the Executive Secret ary, with the help of other international and in tergovernmental organizations such as the [WIPO ] and through the Ad 
Hoc Open-ended Inter-Sessional Working Group on Article 8(j) and Related Provisions of the Convention, where appropriate, to un dertake further 
information gathering and analysis with regard to:  
a) Impact of intellectual property regimes on access to a nd use of genetic resources and scientific research;  
b) Role of customary laws and practices in relation to the pr otection of genetic resources a nd traditional knowledge, innovatio ns and practices, and  
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Page 74 their relationship with intellectual property rights;  
c) Consistency and applicability of requirements for disclosure of  country of origin and prior informed consent in the context of international legal 
obligations;  d) Efficacy of country of origin and prior informed consent disclosures in assisting the examin ation of intellectual property r ights applications and 
the re-examination of intellectual property rights granted;  
e) Efficacy of country of orig in and prior informed consent disclosures in monitoring comp liance with access provisions;  
f) Feasibility of an internationally recogni zed certificate of origin system as evidence of prior informed consent and mutually  agreed terms;  and  
g) Role of oral evidence of prior art in the examination,  granting and maintenance of intellectual property rights; ... 
8. Invites other relevant international organizations (such as the [FAO, the UNCTAD, the WIPO, the WTO, and the UNCHR]), as wel l as regional 
organizations, Parties and Governments to contribute to the further study and analysis of the issues specified in paragraphs 3 and 4; ... ." 
Under decision VI/24, section D on Other i ssues relating to access and benefit-sharing 
The [COP],  
The relationship between the [TRIPS Agreement of the WTO and the CBD] 
Noting that the provisions of the [TRIPS Agreem ent of the WTO and the CBD] are interrelated,  
Noting also that the relationship between the [TRIPS Agreement a nd the CBD] is being examined by the [TRIPS Council], in confor mity with 
Article 19 of the Doha [WTO] Ministerial Declaration, adopted in November 2001,  
Noting further that the Convention Secretariat has still not been  granted observer status on the [TRIPS Council], notwithstandi ng the official request 
of the Executive Secretary to th e Director-General of the [WTO] in a letter dated 4 July 2000,  
1. Requests the Executive Secret ary of the Convention to renew the application for observer status on the [TRIPS Council], and to report back to the 
Conference of Parties on his efforts;  
2. Requests the Executive Secretar y to follow discussions and developments in the [CTE of the WTO and the TRIPS Council] regard ing the 
relationship between the [TRIPS Ag reement] and the Convention;  
Cooperation with other relevant intergovernmental organizations  3. Acknowledges relevant work being carried out by other intergovernmental organisations, such as the [WIPO, the WTO, the Union  for the 
Protection of New Varieties of Plants, the UNCTAD, and the FAO], on issues related to  access to genetic resources and benefit-s haring;  
4. Requests the Executive Secretary to further collaborate with the above relevant organisations to ensure mutual supportivenes s and avoid 
duplication of work; …". 
"The [COP]... 2. Adopts the proposal prepared by the Executive Secretary for the further refinement of the programme of work an d suggesting 
collaborating partners as indicated in the annex to the present decision; ... 
Annex:  Synthesis table of expected outcomes and timeframes, potential actors, and indicators of progress in the implementation  of the programme of 
work on biological diversity of dry and sub-humid lands 
Activity  Expected outcomes  Time-frame  Key actors  Status  Progress indicators  Date  
... Activity 9 . Support for sustainable livelihoods ... 
(d) Market development - Products derived from sustainable 
use increasingly marketed  Parties, WTO Proposed Initial case-studies 
reported on 2006 
Decision VII/2 
The Biological Diversity 
of Dry and Sub-humid 
Lands 
Annex 
 
 
 -   Conducive market relationships 
developed  Parties, WTO Proposed   
Decision VII/3 
Agricultural Biological 
Diversity "The [COP]... 6. Takes note also of the notes by the Executiv e Secretary on the impacts of tr ade liberalization on agricultural  biodiversity 
(UNEP/CBD/COP/7/INF/14 and 15) prepared pursuant to paragraph 17 of decision VI/5, and requests further gathering and incorpora tion of data on 
this matter from all countries; ... ."  
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 Page 75Decision VII/5 
Marine and Coastal 
Biological Diversity 
Appendix 3 "... Elements of a Marine and Coastal Biodiversity Management Framework  ...  
17. Sustainable management practices over the wider marine and coastal environment could include general restrictions that woul d apply to the entire 
area (e.g., bans on certain destructive fishing methods), and site-specific restrictions imposed for non-biodiversity purposes (e.g., trawling restrictions 
to protect cables, restricted areas for defe nce purposes).  These practices can contribute to biodiversity protection in a numb er of ways, including: ... 
(c) Protecting wide-ranging marine and coastal biodiversity speci es which are difficult to addres s through site-specific measur es (e.g. restrictions 
on fishing practices that cause a by- catch of species such as albatross, marine mammals and turtles); ... ."  
 
Decision VII/11 
Ecosystem Approach 
 "The [COP]... 3. Welcomes the implementation guidelines and annot ations to rationale as outlined in annex I to the present deci sion and calls on 
parties and other Governments to implement the ecosystem approach, keeping in mind that in applying the ecosystem approach, all  principles need to 
be considered, with appropriate weight given to each, in accordance with local conditions, and keeping in mind also that the im plementation of the 
ecosystem approach and all principles need to be considered as  voluntary instruments and should be adapted to local conditions and implemented in 
accordance with national legislation; ... 
Annex I:  Refinement and elaboration of th e ecosystem approach, based on assessment of  experience of parties in implementation ... 
Principle 4:  Recognizing potential gains from management, there is usually a need to understand and manage the ecosystem in an economic 
context. Any such ecosystem-management programme should:  
(a) Reduce those market distortions that adversely affect biological diversity;  
(b) Align incentives to promote biodiversity conservation and sustainable use;  
(c) Internalize costs and benefits in the given ecosystem to the extent feasible. 
Rationale:  The greatest threat to biological diversity li es in its replacement by alternative systems of land use.  This often arises thro ugh market distortions, 
which undervalue natural systems and populations and provide perverse incentives and subsidies to favour the conversion of land  to less diverse 
systems.  Often those who benefit from conservation do not pay th e costs associated with conserva tion and, similarly, those who  generate 
environmental costs (e.g. pollution) escape responsibility.  Alignm ent of incentives allows those who control the resource to b enefit and ensures that 
those who generate environm ental costs will pay. ..."  
Decision VII/12 
Sustainable use 
(Article 10) "The [COP]...1. Adopts the Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity, as contained in annex  II to the present 
decision;  
2. Invites Parties, other Governments and relevant organizations to initiate a process for the implementation of the Addis Abab a Principles and 
Guidelines, in accordance with Article 10 of  the Convention which provid es that Contracting Partie s undertake specified actions  as far as possible, 
and as appropriate, at the national and local levels, and in lin e with Article 6 of the [CBD], taking into account obligations under other international 
agreements and conventions and existing frameworks for sustainable use of components of biodiversity, including the concept of sustainable forest 
management, e.g., by developing pilot projects, with a view to:  
(a) Integrating and mainstreaming the Addis Ababa Principles and Guidelines into a range of measures including policies, progra mmes, national 
legislation and other regulations, sectoral and cross-sectoral plans and programmes addressing consumptive and non consumptive use of  
components of biological diversity , including plans and programmes  addressing the removal or m itigation of perverse incentives that undermine 
the conservation and sustainable use of biodiversity, as deemed necessary by individual Parties;  and  
(b) Gathering and disseminating through the clearing-house mechanism and other means relevant information on experiences and le ssons learned 
for the further improvement of the guidelines;  
Æ The full text of the Addis Ababa Principles and Guidelines for the Sustainable use of Biodiversity is contained in Annex II of Decision VII/12 and 
is available at http://www.biodiv.org/deci sions/default.aspx?m=COP-07&id=7749&lg=0. 
Æ Some of the relevant principles include: 
Practical principle 3:  International or national policies, laws and regulations that distort markets which contribute to habitat degradation or other- 
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Page 76 wise generate perverse incentives that undermine conservation and sustainable use of biodiversity, should be identified and rem oved or mitigated.  
Rationale:  Some policies or practices induce unsustainable behaviours that reduce biodiversity, often as unanticipated side ef fects as they were 
initially designed to attain other objectives.  For example, some policies that encourage domestic overproduction often generat e perverse incentives 
that undermine the conservation and sustainable use of biological diversity.  Eliminating subsidies that contribute to illegal,  unreported and 
unregulated fishing and to over-capacity, as required by the WSSD Plan of Implementation in order to achieve sustainable fisher ies, is a further 
instance of the recognition of the need  to remove perverse incentives.  
Operational guidelines 
• Identify economic mechanisms, including incentive systems and subsidies at international or national levels that are having a n egative impact on 
the potential sustainability of uses of biological diversity;  
• Remove those systems leading to market distortions that result in unsustainable uses of biodiversity components; ... 
Practical principle 13:  The costs of management and conservation of biological diversity should be internalized within the area of management and 
reflected in the distribution of the benefits from the use. ...  
Rationale:  The management and conservation of natural resources in curs costs.  If these costs are not adequately covered then management will 
decline and the amount and value of the natura l resources may also decline.  It is neces sary to ensure that some of the benefit s from use flow to the 
local natural resource management authorities so that essential management to sustain the resources is maintained.  Such benefi ts may be direct, such 
as entrance fees from visitors to a national park paid directly to, and retained by, the park management authority or indirect,  such as stumpage tax 
revenue from timber harvesting paid by loggers that flows through a national treasury to a local forest service.  In some cases , licence fees for fishing 
rights are paid directly to the management authority, or to the national treasury.  
Operational guidelines 
• Ensure that national policies do not provide subsidies that mask true costs of management;  
• Provide economic incentives for managers who have already internalized environmental costs, e.g., certification to access new m arkets, waiver 
or deferral of taxes in lieu of e nvironmental investment, promotion of "green-labelling" for marketing. ..." 
Decision VII/13 
Alien Species that 
Threaten Ecosystems, 
Habitats or Species 
(Article 8 (h)) "The [COP]... 5. Noting the existing international, regional and national frameworks but recognizing the need to strengthen ins titutional coordination 
at international, regional and national levels on invasive alien species as a trade-related issue:  
(a) Invites the [WTO] and its relevant bodies to give considera tion to the risks from invasive alien species, in their delibera tions;  
(b) Requests the Executive Secret ary to collaborate, whenever feas ible and appropriate, with the Secretariat of the [WTO] in it s training, capacity-
building and information activities, with a vi ew to raising awareness of the issues re lated to invasive alien species, and prom oting enhanced 
cooperation on this issue;  
(c) Requests the Executive Secretary to rene w his application for observer status in the [SPS Committee of the WTO] with a view  to enhancing the 
exchange of information on deliberations and recent development in the respective bodi es of relevance to alien invasive species ;  
(d) Invites Parties and other Governments to take into considera tion, as appropriate, the risks associated with the introductio n, use and spread of 
invasive alien species during the development, expansion and envi ronmental review of international, bilateral and regional arra ngements such as 
trade arrangements, where appropriate; ... 
6. Invites relevant Parties to the [CBD] and other Governments, as well as national, regional and international organizations t o: ... 
(f) Consider the introduction of positive incentive measures for the prevention, mitigation, eradication or control of invasive  alien species and the 
use of native species taking into consider ation effectiveness in control and impact on the other native species in land and wat er management and 
other programmes; ... 
7. Notes  that specific gaps in the international regulatory frameworks at global, regional and national levels persist, notably in rela tion to species that 
are invasive, but do not qualify as plant pests under the regulations of the [IPPC] and other international agreements or anima l diseases under the 
regulations of the Office international des épizooties and other international agreements with regard to the following potentia l pathways: ..." 
  
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 Page 77Decision VII/14 
Biological Diversity and 
Tourism "The [COP] 1. Adopts the Guidelines on Biodiversity and Tourism Developmen t annexed to the present decision; ... 
9. In light of the collaboration between the [CBD, the UNEP and the UNESCO, invites the World To urism Organization, the UNCTAD,  the UNDP, 
the World Bank, the WTO], regional development banks and other relevant international organizations, to: 
(a) Take these Guidelines into account  in undertaking their activities; ... 
Annex:  Guidelines on Biodiv ersity and Tourism Development ... 
1. The present Guidelines are voluntary an d represent a range of opportunities for local, regional, national Governments, indig enous and local 
communities and other stakeholders to manage tourism activities in an ecological, economic and socially sustainable manner.  Th ey can be flexibly 
applied to suit different circumstances and domestic institutional and legal settings. ... 
32. Legislation and control measures cons idered could include measures for: ... 
(n) Monitoring, control of and provision of information on activ ities related to collection and trade of biological and related  cultural resources 
within tourism sites. ..." 
Decision VII/16 
Article 8(j) and Related 
Provisions 
 "The [COP]... H.  Development of elements of sui generis systems for the protection of traditional knowl edge, innovations and practices  ... 
Noting that a mix of defensive and positive measures, taking in to account both proprietary and non-proprietary aspects, may be necessary for the 
protection of traditional knowledge, innovations and practices relevant for the conservation and sustainable use of biological diversity, ... 
Emphasizing that any sui generis  system for the protection of traditional knowledge, innovations and practices needs to be developed taking into 
consideration customary law and practices wi th the full and effective involvement and participation of concerned indigenous and  local communities,  
... Recognizing the need for continued collaboration with other relevant organizations working on issues related to the protect ion of traditional 
knowledge, innovations and practices, such as the [WIPO, the Permanent Forum on Indige nous Issues (PFII), the WHO and the FAO, the UNESCO, 
the UNCTAD and the WTO] to ensure mutual supp ortiveness and avoid dup lication of efforts, ... 
7. Invites Parties and Governments to consider appropriate meas ures, with the full and effective participation of indigenous an d local communities, to 
implement at local, national, subregional, regional and international levels sui generis  systems and other new innovative mechanisms that ensure the 
protection of traditional knowledge, innovations and practices ta king into consideration customary law and traditional practice s; ..."  
Decision VII/19 
Access and Benefit-
sharing as Related to 
Genetic Resources  
(Article 15) "... D. International regime on  access to genetic resources and benefit-sharing  
The [COP]...  
1. Decides to mandate the Ad Hoc Open-ended Working Group on Access and Benefit-sharing with the collaboration of the Ad Hoc Op en ended 
Inter-Sessional Working Group on Article 8(j) and Related Provis ions, ensuring the participation of indigenous and local commun ities, non-
Governmental organizations, industry and scientific and academic  institutions, as well as intergovernmental organizations, to e laborate and negotiate 
an international regime on access to genetic resources and benef it-sharing with the aim of adop ting an instrume nt\instruments t o effectively 
implement the provisions in Article 15 and Article 8(j) of the Convention and the three objectives of the Convention;  
2. Recommends that the Ad Hoc Open-ended Working Group on Acce ss and Benefit-sharing should op erate in accordan ce with the term s of 
reference contained in the annex to this decision; ... 5. Invites [UNEP, FAO, WTO, WIPO], the Inte rnational Union for the Protection of New Varieties of Plants, to cooperate with the  Ad Hoc Open-
ended Working Group on Access and Benefit-sharin g in elaborating the international regime; ... 
Annex :  Terms of reference for the Ad Hoc Open-ended  Working Group on Access and Benefit-sharing  ...  
(d) Elements:  The following elem ents shall be considered by the Ad Hoc Open-e nded Working Group on Access and Benefit-sharing for inclusion 
in the international regime, inter alia : ... 
(xiii) Internationally recognized certifi cate of origin/source/legal provenance of ge netic resources and associated traditional  knowledge;  
(xiv) Disclosure of origin/source/legal provenance of genetic re sources and associated traditional knowledge in applications fo r intellectual 
property rights;  
(xxiii) Relevant elements of existing in struments and processes, including: ...  
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E. Measures, including consideration of their feasibility, prac ticality and costs, to support compliance with prior informed co nsent of the 
Contracting Party providing genetic resources  and mutually agreed terms on which acce ss was granted in Contracting Parties with  users of 
such resources under their jurisdiction ... 
Noting further  the ongoing activities and processes in relevant international forums such as the [WIPO, the TRIPS Council of the WTO], and th e 
Commission on Plant Genetic Resources for Food and Agriculture of  the [FAO] acting as the Interim Committee for the Internation al Treaty on Plant 
and Genetic Resources for Food and Agriculture, regarding meas ures to support compliance with  prior informed consent, ... 
2. Invites  Parties and Governments to continue taking appropriate and prac tical measures to su pport compliance with prior informed consen t of the 
Contracting Parties providing such resources, including countries of origin, in accordance with Article 2 and Article 15, parag raph 3, of the 
Convention, and of the indigenous and local communities providing associated traditional knowledge, and with mutually agreed te rms on which 
access was granted.  Such measures may include: ... 
(b) Incentive measures, as referred to in paragraph 51 of the Bonn Guidelines, to en courage users to comply with national legis lation, including 
prior informed consent and mutua lly agreed terms, such as publicly sponsored research grants and volun tary certification scheme s; ... 
(d) Aspects related to the import and export of genetic resources , including regulations when feasible and as appropriate; ... 
4. Invites  Parties to establish national mechanisms to ensure compliance, when required by domestic law, with the obtaining of prior info rmed 
consent of indigenous and loca l communities regarding access to genetic resour ces and associated traditional knowledge; ... 
F. Needs for capacity-building identified by countries to implement the Guidelines ... 
1. Adopts the Action Plan on Cap acity-building for Access to Genetic Resources an d Benefit-sharing annexed to this decision; .. . 
Annex:  Action plan on capacity-building for acce ss to genetic resources and benefit-sharing ... 
5. Capacities should be strengthened at the systemic, ins titutional and individual levels in the following key areas: ... 
(m) Development of awareness with respect to conventions, norms and policies relating to intellectual property rights and trade  and their 
interrelationship with genetic resources and traditional knowledge; ...". 
Decision VII/26 
Cooperation with Other 
Conventions and Inter-
national Organizations 
and Initiatives "The [COP]...1. Urges  further enhanced cooperation between the [CBD] and all re levant international conventions, organizations and bodies, 
strengthening and building on existing cooperative arrangements to enhance synergies and reduce inefficiencies in a manner cons istent with their 
respective mandates, governance arrangements and agreed programs, within existing resources; ... 
4. Requests the Executive Secretary to renew his applications for observer status in relevant bodies of the [WTO], in particula r, in the [TRIPS 
Council]; ...". 
Decision VII/28 
Protected areas (Articles 
8 (a) to (e)) "The [COP] 1. Confirms  that efforts to establish and maintain systems of protected areas and areas where special measures need to be taken to 
conserve biological diversity in line with Article 8 on in situ  conservation and other relevant articles of the Convention, are essential for achieving, in 
implementing the ecosystem approach, the three objectives of the Convention and thus contributing to achieving the 2010 target contained in the 
Strategic Plan of the Convention and in the Plan of Implementation of the World Summit on Sustainable Development, and to achie ve sustainable 
development and the attainment of the Millennium Development Goals; ...  
18. Adopts the programme of work on protected areas annexed to th e present decision w ith the objective of the establishment and  maintenance by 
2010 for terrestrial and by 2012 for marine areas of comprehens ive, effectively managed, and ec ologically representative nation al and regional 
systems of protected areas that collectively, inter alia  through a global network / contribute to achi eving the three objectives  of the Convention and 
the 2010 target to significantly reduce th e current rate of biodiversity loss; ... 
21. Urges concerned Parties, individually and collectively, to take further steps in curbing the illegal exploitation and trade  of resources, particularly 
from existing protected areas and from areas of ecol ogical importance for biodiversity conservation; ... 
Goal 3.1 - To provide an enabling po licy, institutional and socio-economic environmen t for protected areas  
Target:  By 2008 review and revise policies as appropriate, including use of social and economic valuation and incentives, to provide a supportive  
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Suggested activities of the Parties ... 
3.1.2 Conduct national-level assessments of the contributions of protected areas, considering as appropriate environmental serv ices, to the country's 
economy and culture, and to the achievement of the Millennium Development Goals at the national level;  and integrate the use o f economic 
valuation and natural resource accounting t ools into national planning processes in or der to identify the hidden and non-hidden  economic benefits 
provided by protected areas and wh o appropriates these benefits.  
3.1.3 Harmonize sectoral policies and laws to  ensure that they support the conservatio n and effective management of the protect ed area system. ... 
3.1.5 Identify and remove perverse incentives and inconsistencies in sectoral policies that incr ease pressure on protected area s, or take action to 
mitigate their perverse effects.  Whenever feasible, redirect these to positive incentives for conservation.  
3.1.6 Identify and establish positive incentives that support the integrity and maintenance of protected areas and the involvem ent of indigenous and 
local communities and stakeholders in conservation.  
3.1.7 Adopt legal frameworks to national, regional and sub-national protected areas systems of countries where appropriate... 3.1.9 Identify and foster economic opportunities and markets at local, national and international levels for goods and services  produced by protected 
areas and/or reliant on the ecosystem servi ces that protected areas provide, consiste nt with protected area objectives and prom ote the equitable 
sharing of the benefits. ..." 
Decision VII/29 
Transfer of Technology 
and Technology 
Cooperation 
(Articles 16 to 19) "The [COP]...1. Adopts the programme of work on technology transfer and cooperation as contained in the annex to the present de cision; ... 
14. Urges Parties, Governments, relevant international and regional orga nizations and the private sector to remove any unnecess ary impediments to 
funding of multi-country initiatives for technology transfer and for scientific and tec hnical cooperation; ... ." 
Decision VIII/4 
Access and benefit-
sharing "... D. Measures, including consideration of their feasibility, prac ticality and costs, to support compliance with prior informed co nsent of the 
contracting Party providing genetic resources  and mutually agreed terms on which acce ss was granted in contracting Parties with  users of 
such resources under their jurisdiction 
The [COP]...  Noting discussions regarding disclosure of origin/source/legal provenance in intellectual property rights applications in the [WIPO] a nd 
in the Doha Work Programme of the [WTO],... 4. Requests the Executive Secretary to renew the application for accreditation of the [CBD] as an observer at the [TRIPS Council] of the [W TO]."  
Decision VIII/5 
Article 8(j) and related 
provisions "...E. Development of elements of sui generis systems for the prot ection of the knowledge, innovations and practices of indigen ous and local 
communities 
The [COP]... 7. Acknowledges the ongoing discussions in the [WTO] to examine, inter alia , the relationship between the [TRIPS Agreement] and  the 
[CBD] and the protection of traditional knowledge...  
Decision VIII/16 
Cooperation with other 
conventions and 
international 
organizations and 
initiatives  "The [COP]... 13. Requests the Executive Secretary to  liaise with the secretariat of the [WTO] on relevant issues, incl uding trade-related intellectual 
property rights, sanitary and phytosanitary measures, and environmental goods and services, inter alia , with a view to identifying options for closer 
collaboration, including developing a memorandum of cooperation to promote the three objectives of the Convention...". 
Decision VIII/25 
Incentive measures: 
application of tools for 
valuation of biodiversity 
and biodiversity resources 
and functions  “The [COP]… 1.  Takes note of the options for the application of tools for valuation of biodiversity and biodiversity resources and functions annexed 
to the present decision;  
2. Invites  Parties and other Governments to take, in accordance with thei r national policies and legislation, their capacity, and taking into account 
other international instruments, these options into consideration as possible inputs for analysis when considering, on a volunt ary basis, the 
application of methods for assessing the changes of the value of biodiversity resources and functions, and associated ecosystem  services, that result 
from their decision-making, including through pilot projects  
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Incentive measures: 
Preparation for the in-
depth review of the 
programme of work on 
incentive measures Section on positive incentive measures, preamble: 
Recognizing  that positive incentive measures, can influence decision-makin g by recognizing and rewarding activities that are carried out f or the 
conservation and sustainable use of biological diversity, and are important in achieving the objectives of the Convention and t he 2010 biodiversity 
target, when such positive incentive measures are targeted, flex ible, transparent, appropriately monitored and adapted to local  conditions,  
Noting that policy guidance on incentive mechanisms developed under th e Convention is voluntary and shou ld be applied in accordance wi th 
national law, taking into account other international instruments. 
Decision VIII/27 
Alien species that 
threaten ecosystems, 
habitats or species 
(Article 8/h) ): Further 
consideration of gaps and 
inconsistencies in the 
international regulatory 
framework "The [COP]... 14. Requests the Executive Secretary to consult with relevant international bodies and instruments, such as [the IPPC, the OIE, FAO , 
and the WTO], taking into account the observations of the report of the Ad Hoc Technical Expert Group (UNEP/CBD/SBSTTA/11/INF/4 ), regarding 
whether and how to address the lack of international standards co vering invasive alien species, in  particular animals, that are  not pests of plants under 
the [IPPC], and to report on the results of these consultations for consideration by the Subsidiary Body on Scientific, Technic al and Technological 
Advice and by the [COP] at its ninth meeting." 
 
H. CARTAGENA PROTOCOL ON BIOSAFETY  
1. Provisions of the Protocol  
Preamble "... Recognizing  that trade and environment agreements should be mutually supportive with a view to achieving sustainable development, 
Emphasizing  that this Protocol shall not be interpreted as implying a change in the rights and obligations of a Party under any existing i nternational 
agreements, 
Understanding  that the above recital is not intended to subordinate  this Protocol to other international agreements". 
Article 2 
General Provisions "...4. Nothing in this Protocol shall be interpreted as restricting the right of a Party to take action that is more protective  of the conservation and 
sustainable use of biological diversity than that called for in this Protocol, provided that such action is consistent with the  objective and the 
provisions of this Protocol and is in accordance with that Party's other obligations under international law". 
Article 4 
Scope "This Protocol shall apply to the transboundary movement, transit, handling and use of all [LMOs] that may have adverse effects  on the conservation 
and sustainable use of biological diversity, taking also into account risks to human health." 
Article 6 
Transit and Contained 
Use "1. Notwithstanding Article 4 and without prejudice to any right of a Party of transit to regulate  the transport of [LMOs] thro ugh its territory and 
make available to the Biosafety Clearing-House, any decision of that Party, subject to Article 2, paragraph 3, regarding the tr ansit through its 
territory of a specific LMO], the provisions of this Protocol with respect to the advance informed agreement procedure shall no t apply to [LMOs] in 
transit. 
2. Notwithstanding Article 4 and without prejudice to any right of  a Party to subject all [LMOs] to risk assessment prior to de cisions on import and to 
set standards for contained use within its jurisdiction, the provis ions of this Protocol with respect to the advance informed a greement procedure shall 
not apply to the transboundary movement of [LMOs] destined for contained use undertaken in accordance with the standards of the  Party of import."  
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Application of the 
Advance Informed 
Agreement Procedure  "1. Subject to Articles 5 and 6, the advance informed agreement procedure in Articles 8 to 10 and 12 shall apply prior to the f irst intentional 
transboundary movement of [LMOs] for intentional introduction into the environment of the Party of import. 
2. "Intentional introduction into the environment" in paragraph 1 above, does not refer to [LMOs] intended for direct use as fo od or feed, or for 
processing. 
3. Article 11 shall apply prior to the first transboundary movement of [LMOs] intended for direct use as food or feed, or for p rocessing. 
4. The advance informed agreement procedure shall not apply to the intentional transbo undary movement of [LMOs] identified in a  decision of the 
[COP] serving as the [MOP] to this Protocol as being not likely to have adverse effects on the conservation and sustainable use  of biological 
diversity, taking also into account risks to human health". 
Æ Lays out the Advanced Informed Agreement (AIA) procedure which shall apply for the first intentional transboundary movement of a LMO for 
intentional introduction into the environment of the Party of im port.  The AIA procedure is ou tlined in Articles 8 to 10 and 12 .  The procedure in 
Article 11 shall apply prior to the first transboundary movement of LMOs intended for direct use as food or feed, or for proces sing.  The AIA 
procedure shall not apply to LMOs in transit or for contained use". 
Article 8 
Notification "1. The Party of export shall notify, or require the exporter to ensure notification to, in writing,  the competent national au thority of the Party of 
import prior to the intentional transboundary movement of a [LMO] that falls within the scope of Article 7, paragraph 1.  The n otification shall 
contain, at a minimum, the information specified in Annex I. 
2. The Party of export shall ensure that there is a legal requ irement for the accuracy of inform ation provided by the exporter ...". 
Article 9 
Acknowledgement of 
Receipt of Notification "1. The Party of import shall acknowledge receipt of the notificati on, in writing, to the notifier within ninety days of its re ceipt.  
2. The acknowledgement shall state: 
(a) The date of receipt of the notification;  
(b) Whether the notification, prim a facie, contains the informati on referred to in Article 8;  
(c) Whether to proceed according to the dom estic regulatory framework of the Party of  import or according to the procedure spec ified in 
Article 10.  
3. The domestic regulatory framework referred to in paragraph 2 (c) above, shall be consistent with this Protocol. 
4. A failure by the Party of im port to acknowledge receipt of a notification sh all not imply its consent to an intentional tran sboundary movement". 
Article 10  
Decision Procedure "1. Decisions taken by the Party of import shall be in accordance with Article 15. 
2. The Party of import shall, within the period of time referred to in Article 9, inform the notifier, in writing, whether the intentional transboundary 
movement may proceed: 
(a) Only after the Party of import has given its written consent;  or (b) After no less than ninety days without a subsequent written consent.  
3. Within two hundred and seventy days of  the date of receipt of notification, th e Party of import shall communicate, in writin g, to the notifier and to 
the Biosafety Clearing-House the decision referred to in paragraph 2 (a) above: 
(a) Approving the import, with or without conditions, including ho w the decision will apply to subsequent imports of the same [ LMO];  
(b) Prohibiting the import;  
(c) Requesting additional relevant information in accordance with its domestic regulatory framework or Annex I;  in calculating  the time within 
which the Party of import is to respond, the number of days it has to wait for additional relevant information shall not be tak en into account;  or 
(d) Informing the notifier that the period specified in this  paragraph is extended by a defined period of time.  
4. Except in a case in which consent is unconditional, a decisi on under paragraph 3 above, shall set out the reasons on which i t is based. 
5. A failure by the Party of im port to communicate its decision w ithin two hundred and seventy days of the date of receipt of t he notification shall not 
imply its consent to an intentional transboundary movement. 6. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledge regarding the extent of the p otential adverse effects of 
a [LMO] on the conservation and sustainable use of biological diversity in the Party of import, taking also into account risks to human health, shall 
not prevent that Party from taking a decision , as appropriate, with regard to the import of the [LMO] in question as referred t o in paragraph 3 above,  
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Æ At the First COP serving as the MOP to this Protocol (COP-MOP 1)  in 2004, COP-MOP 1 adopted procedures and mechanisms to facili tate 
decision-making by Parties of import (Decision BS-I/2).  The guidelines and procedures state, inter alia , that Parties shall cooperate to ensure that 
importing Parties have access to the Biosafety Clearing-House (BCH), procedures and mech anisms should be demand-driven by impor ting Parties;  
and the roster of experts and the BCH are referred to as main  mechanisms to provide support to facilitate decision making. 
Article 11 
Procedure for Living 
Modified Organisms 
Intended for Direct Use 
as Food or Feed, or for 
Processing "1. A Party that makes a final decision regarding domestic use, including placing on the market, of a [LMO] that may be subject  to transboundary 
movement for direct use as food or feed, or for processing shall, within fifteen days of making that decision, inform the Parti es through the [BCH].  
This information shall contain, at a minimu m, the information specified in Annex II.  The Party shall provide a copy of the inf ormation, in writing, to 
the national focal point of each Party that  informs the Secretariat in advance that it does not have access to the [BCH].  This  provision shall not apply 
to decisions regarding field trials.   2. The Party making a decision under paragraph 1 above, shall en sure that there is a legal requirement for the accuracy of info rmation provided by 
the applicant.   
3. Any Party may request additional information from the authority identified in paragraph (b) of Annex II. 4. A Party may take a decision on the import of [LMOs] intended for direct use as food or feed, or for processing, under its do mestic regulatory 
framework that is consistent with the objective of this Protocol. 
5. Each Party shall make available to the [BCH] copies of an y national laws, regulations and guidelines applicable to the impor t of [LMOs] intended 
for direct use as food or feed, or for processing, if available. 
6. A developing country Party or a Party with an economy in tr ansition may, in the absence of the domestic regulatory framework  referred to in 
paragraph 4 above, and in exercise of its domestic jurisdiction, declare through the [BCH] that its decision prior to the first  import of a [LMO] 
intended for direct use as food or feed, or for processing, on which information has been provided under paragraph 1 above, wil l be taken according 
to the following: 
(a) A risk assessment undertaken in accordance w ith Annex III;  and 
(b) A decision made within a predictable time frame, not exceeding two hundred and seventy days. 
7. Failure by a Party to communicate its decision according to paragraph 6 above, shall not imply its consent or refusal to the  import of a [LMO] 
intended for direct use as food or feed, or for processing, unless otherwise specified by the Party. 
8. Lack of scientific certainty due to insufficient relevant sc ientific information and knowledge regarding the extent of the p otential adverse effects of 
a [LMO] on the conservation and sustainable use of biological diversity in the Party of import, taking also into account risks to human health, shall 
not prevent that Party from taking a decision, as appropriate, w ith regard to the import of that [LMO] intended for direct use as food or feed, or for 
processing, in order to avoid or minimize such potential adverse effects.  
9. A Party may indicate its needs for financial and technical a ssistance and capacity-building with respect to [LMOs] intended for direct use as food 
or feed, or for processing.  Parties shall cooperate to meet these needs in accordance with Articles 22 and 28". 
Article 12 
Review of Decisions "1. A Party of import may, at any time, in light of new scientific information on potential adverse effects on the conservation  and sustainable use of 
biological diversity, taking also into account the risks to human health, review and change a decision regarding an intentional  transboundary 
movement.  In such case, the Party shall, within thirty days, inform any notifier that has previously notified movements of the  [LMO] referred to in 
such decision, as well as the [BCH], and shall set out the reasons for its decision. 
2. A Party of export or a notifier may request the Party of impor t to review a decision it has made in respect of it under Arti cle10 where the Party of 
export or the notifier considers that: 
(a) A change in circumstances has occurred that may influence the outcome of the risk assessment upon which the decision was ba sed;  or 
(b) Additional relevant scientific or technical information has become available.  
3. The Party of import shall respond in writing to such a reques t within ninety days and set out the reasons for its decision. 
4. The Party of import may, at its discretion, require a risk assessment for subsequent imports". 
  
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Simplified Procedure  "1. A Party of import may, provided that adequate measures are applied to ensure the safe intentional transboundary movement of  [LMOs] in 
accordance with the objec tive of this Protocol, specify  in advance to the [BCH]: 
(a) Cases in which intentional tr ansboundary movement to it may take place at the same time as the movement is notified to the Party of import;  
and 
(b) Imports of [LMOs] to it to be exempted fr om the advance informed agreement procedure.  
Notifications under subparagraph (a) above, may apply to subsequent similar movements to the same Party. 2. The information relating to an intentional transboundary movement that is to be provided in the notifications referred to in  paragraph 1 (a) above, 
shall be the information specified in Annex I". 
Article 14  
Bilateral, Regional and 
Multilateral Agreements 
and Arrangements "1. Parties may enter into bilateral, regional and multilateral agreements and arrangements regarding intentional transboundary  movements of 
[LMOs], consistent with the objective of this Protocol and provided that such agreements and arrangements do not result in a lo wer level of 
protection than that provided for by the Protocol. 
2. The Parties shall inform each other, through the [BCH], of any such bilateral, regional and multilateral agreements and arra ngements that they 
have entered into before or after the date  of entry into force of this Protocol. 
3. The provisions of this Protocol shall not affect intentional transboundary movement s that take place pursuant to such agreem ents and 
arrangements as between the parties to those agreements or arrangements. 
4. Any Party may determine that its domestic regulations shall apply with respect to specific imports to it and shall notify th e [BCH] of its decision". 
Article 15 
Risk Assessment  "1. Risk assessments undertaken pursuant to this Protocol shall be carried out in a scientifica lly sound manner, in accordance with Annex III and 
taking into account recognized risk assessmen t techniques.  Such risk assessments shall be based, at a minimum, on information provided in 
accordance with Article 8 and other availabl e scientific evidence in or der to identify and evaluate  the possible adverse effect s of [LMOs] on the 
conservation and sustainable use of biological diversity, taking also into account risks to human health. 
2. The Party of import shall ensure that risk assessments are ca rried out for decisions taken under Article10.  It may require the exporter to carry out 
the risk assessment. 3. The cost of risk assessment shall be borne by the notifier if the Party of import so requires". 
Article 16 
Risk Management  "1. The Parties shall, taking into account Article 8(g) of the Convention, establish and maintain appropriate mechanisms, measu res and strategies to 
regulate, manage and control risks identified in the risk assessment provisions of this Protocol associated with the use, handl ing and transboundary 
movement of [LMOs]. 2. Measures based on risk assessment shall be imposed to the ex tent necessary to prevent advers e effects of the [LMO] on the co nservation and 
sustainable use of biological diversity, taking also into account  risks to human health, within the territory of the Party of i mport. 
3. Each Party shall take appropriate meas ures to prevent unintentional transboundary movements of [LMOs], including such measur es as requiring a 
risk assessment to be carried out prio r to the first release of a [LMO]. 
4. Without prejudice to paragraph 2 above, each Party shall endeavour to ensure that any [LMO], whether imported or locally dev eloped, has 
undergone an appropriate period of observation that is commens urate with its life-cycle or generation time before it is put to its intended use. 
5. Parties shall cooperate with a view to:  
(a) Identifying [LMOs] or specific traits of [LMOs] that may have adverse effects on the conservation and sustainable use of bi ological diversity, 
taking also into account risks to human health;  and (b) Taking appropriate measures regarding the tr eatment of such [LMOs] or specific traits". 
Article 18 
Handling, Transport, 
Packaging And 
Identification  "1. In order to avoid adverse effects on the conservation and sustainable use of biol ogical diversity, taking also into account  risks to human health, 
each Party shall take necessary measures to require that [LMOs] that are subject to intentional transboundary movement within t he scope of this 
Protocol are handled, packaged and transported under conditions of  safety, taking into consideration relevant international rul es and standards.  
2. Each Party shall take measures to require that documentation accompanying: 
(a) [LMOs] that are intended for direct use as food or feed, or for pr ocessing, clearly identifies th at they "may contain" [LMO s] and are not 
intended for intentional introduction into the environment, as well as a contact point for further information.  The [COP] serv ing as the [MOP] to  
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Page 84 this Protocol shall take a decision on the detailed requirements for this purpose, including specification of their identity an d any unique 
identification, no later than two years after th e date of entry into force of this Protocol; 
(b) [LMOs] that are destined fo r contained use clearly identifies them as [LMOs] ;  and specifies any requirements for the safe handling, storage, 
transport and use, the contact point for further information, including the name and address of the individual and institution to whom the [LMOs] 
are consigned;  and 
(c) [LMOs] that are intended for intentional introduction into th e environment of the Party of import and any other [LMOs] with in the scope of the 
Protocol, clearly identifies them as [LMOs];  specifies the iden tity and relevant traits and/or characteristics, any requiremen ts for the safe handling, 
storage, transport and use, the contact po int for further information and, as appropriate, the name and address of the importer  and exporter;  and 
contains a declaration that the movement is in conformity with the requirements of this Protocol applicable to the exporter. 
3. The [COP] serving as the [MOP] to this Protocol shall consider the need for and modalities of developing standards with rega rd to identification, 
handling, packaging and transport practices, in cons ultation with other relevant international bodies". 
Article 25 
Illegal Transboundary 
Movements 
 "1. Each Party shall adopt appropriate domestic measures aimed at  preventing and, if appropriate, penalizing transboundary move ments of [LMOs] 
carried out in contravention of its domestic measures to implemen t this Protocol.  Such movements shall be deemed illegal trans boundary 
movements. 
2. In the case of an illegal transboundary movement, the affected Party may request the Party of origin to dispose, at its own expense, of the [LMO] 
in question by repatriation or destruction, as appropriate. 
3. Each Party shall make available to the [BCH] information con cerning cases of illegal transboundary movements pertaining to i t". 
Article 26 
Socio-Economic 
Considerations "1. The Parties, in reaching a decision on import under this Protocol or under its domestic measures implementing the Protocol,  may take into 
account, consistent with their in ternational obligations, socio-economic consider ations arising from the impact of [LMOs] on th e conservation and 
sustainable use of biological diversity, especially with regard to the value of biological diversity to indigenous and local co mmunities. 
2. The Parties are encouraged to cooperate on research and info rmation exchange on any socio-eco nomic impacts of [LMOs], especi ally on 
indigenous and local communities". 
Annexes Æ Annex I sets out the information required in notifications under Articles 8, 10 and 13 (AIA Procedure and Simplified Procedure ). 
Æ Annex II sets out the information required for LMOs intended for direct use as food or feed, or for processing under Article 1 1.   
Æ Annex III gives greater details on the risk assessments carried out pursuant to the Protocol. 
 
2. Decisions of the COP-MOP 
Decision BS-I/6 
Handling, Transport, 
Packaging and 
Identification of Living 
Modified Organisms 
(Article 18) 
 "A. Paragraph 2 (a) of Article 18 ... 
1. Requests Parties to the Protocol and urges other Governments to take measures to require the use of a commercial invoice or other document 
required or utilized by existing documentation systems, as  documentation that should accompany [LMOs] that are intended for dir ect use as food or 
feed, or for processing, for the purpose of  identification by incorporating the information requirements of the first sentence of paragraph 2 (a) of 
Article 18, and the requirements established under paragraph 4 below, pending a decision on detailed requirements for this purp ose by the COP 
serving as the MOP to the Protocol, which could include the use of a stand-alone document;   
2. Requests Parties to the Protocol and urges other Governments to take measures ensuring that  documentation accompanying [LMOs ] that are 
intended for direct use as food or feed, or for processing clearly identifies that the shipment may contain [LMOs] intended for  direct use as food or 
feed, or for processing, and states th at they are not intended for intentional introduction into the environment; 
3. Further requests Parties to the Protocol and urges other Governments to take measures ensuring that the documentation accomp anying [LMOs] 
that are intended for direct use as food or  feed, or for processing, provides the details of a contact point for further inform ation:  the exporter, the 
importer, or any appropriate authority, when designated by a Government as the contact point;  
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 Page 854. Further urges Parties to the Protocol and other Governments to require that the documentation referred to in paragraph 1 abo ve includes:  
(i) the common, scientific and, where available, commercial names, and  
(ii) the transformation event code of the [L MOs] or, where available, as a key to ac cessing information in the Biosafety Cleari ng-House, its unique 
identifier code;  
5. Encourages Parties to the Protocol and other Governments to require exporters of [LMOs] that are intended for direct use as food or feed, or for 
processing under their jurisdiction to declare, in documentation accompanying transboundary movements known to intentionally co ntain [LMOs] 
that are intended for direct use as food or feed, or for processing, that the shipment contains [LMOs] that are intended for di rect use as food or feed, 
or for processing, the identity of the [LMO], an d any unique identification, where possible; ..." 
B. Paragraphs 2 (b) and 2 (c) of Article 18 ...  
1. Requests Parties to the Protocol and urges other Governments to take measures to ensure the use of a commercial invoice or o ther documents 
required or utilized by existing documentation systems, with consideration given to the formats outlined in the example templat es annexed hereto, as 
documentation that should accompany [LMOs] for contained use and [LMOs] for intentional introduction into the environment of th e Party of 
import, incorporating the information required under paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol, as appropriate, with a view to fulfil the 
identification requirements of these paragraphs; 
2. Requests Parties to the Protocol and invites other Government s to submit to the Executive Secretary, not later than six mont hs prior to the third 
meeting of the [COP] serving as the [MOP] to the Protocol, inform ation on experience gained with the use of documentation refer red to in paragraph 
1 above, with a view to the future consid eration of a stand-alone document, to fulf il the identification requirements of paragr aphs 2 (b) and 2 (c) of 
Article 18, and requests the Executive Secret ary to compile the informat ion received and to prepare a synthesis report presenti ng options for stand-
alone documentation for consideration by the third meeting of the [COP] serving as the [MOP] to the Protocol;  
3. Requests Parties to the Protocol and urges other Governments to ta ke measures ensuring that documentation accompanying [LMOs ] contains the 
following information and declaration:  
(a) [LMOs] for contained use (Article 18, paragraph 2 (b)): 
(i) Clear identification as "[LMOs]" including common and scientific names of the organisms and as "destined for contained use" ; 
(ii) The name and address of the consignee, and exporter or importer, as appropriate, including contact details necessary to re ach them as fast 
as possible in case of emergency; 
(iii) Any requirements for the safe handling, storage, transpor t and use of the [LMOs] under applicable existing international instruments, such 
as the United Nations Recommendations on the Transport of Dangerous Goods, the International Plant Protection Convention and th e 
Organisation Internationale des Epizooties, domestic regulatory frameworks or under any agreements entered into by the importer  and exporter.  
In the event that there is no requirement, i ndicate that there is no specific requirement; 
(iv) Where appropriate, further information should include the commercial names of the [LMOs], if available, new or modified tr aits and 
characteristics such as event(s) of transformation, risk class, specification of use, as well as any unique identification, whe re available, as a key 
to accessing information in the [BCH]; 
(b) [LMOs] for intentional introduction into the environment of the Party of import and any other [LMOs] within the scope of th e Protocol (Article 
18, paragraph 2 (c)): 
(i) Clear identification as "[LMOs]" and a brief description of the organisms, including common and scientific name, relevant t raits and genetic 
modification, including transgenic traits and characteristics such as ev ent(s) of transformation or, where available and applic able, a reference to 
a system of unique identification; 
(ii) Any requirements for the safe handling,  storage, transport and use of the [LMOs] as provided under applicable existing int ernational 
requirements, domestic regulatory frameworks, or under any agreement entere d into by the importer and exporter.  In the event t hat there is no 
requirement, indicate that ther e is no specific requirement; 
(iii) The name and address of the exporter and importer;  
(iv) The details of the contact point for further information, including an individual or organization in possession of relevan t information in 
case of emergency;   
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Page 86 (v) A declaration that the movement of the [LMOs] is in conform ity with the requirements of the Cartagena Protocol on Biosafety  applicable to 
the exporter; 
(vi) Where appropriate, further information should include the comm ercial name, risk class, and im port approval for the first t ransboundary 
movement of [LMOs]; ... 
C. Unique identification system(s)...  
1. Invites Parties and other government to take measures to apply, as appropriate, the OECD Unique Identifiers for Transgenic P lants to living 
modified plants under the Protocol, without prejudice to th e possible development and applicability of other systems; 
2. Requests the Executive Secretary to develop or maintain, in th e [BCH], a register of unique identification codes to ensure h armonisation of such 
codes by all users; 3. Encourages the OECD and other organizations involved in the development of unique identification systems for [LMOs] to initi ate or enhance 
their activities towards the development of a harmonized system of  unique identifiers for genetically modified micro-organisms and animals. ..."  
Decision BS-I/12 
Medium-term 
Programme of Work for 
the Conference of the 
Parties Serving as the 
Meeting of the Parties to 
the Biosafety Protocol 
(from the second to the 
fifth meetings) "The [COP] serving as the [MOP] to the Cartagean Protocol on Biosafety  
1. Decides: ...(b) To adopt the medium-term programme of work for the period covering from the second to the fifth meetings as annexed to the 
present decision, ... 
Annex:  Medium-term programme of work of the [COP] serving as the [MOP] to the Protocol (for the period from the second to the fifth meeting) ... 
4. At its second meeting, the [COP] serving as the [MOP] to the Protocol may consider, inter alia , the following items: 
(a) Notification: 
(i) To consider options for implementing Article 8 with respect to requirements, by a Party of export, to ensure notification a nd the accuracy of 
information contained in notification by the exporter. ... 
(b) Risk assessment and risk management: 
(i) To consider clarification of the issues involved; 
(ii) To consider the development of guidance and a framework for a common approach in risk assessment and risk management; 
(iii) Cooperation in identifying [LMOs] or specific traits that may have adverse effects on the conservation and sustainable us e of biological 
diversity, taking also into account risks to human health, and taking appropriate measures regarding the treatment of such [LMO s] or specific 
traits, (Article 16, paragraph 5); ... 
(e) Socio-economic considerations: 
(i) Cooperation on research and information exchange on any socio-economic impacts of [LMOs], especially on indigenous and loca l 
communities (Article 26, paragraph 2); ... ." 
Decision BS-II/6 
Cooperation with Other 
Organizations, 
Conventions and 
Initiatives  
 "The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
Requests  the Executive Secretary: 
(a) To pursue efforts to obtain observer status for the Secret ariat of the [CBD] with the [WTO 's] Committees on Sanitary and Ph ytosanitary 
Measures and on Technical Barriers to Trade; 
(b) To continue the involvement of the Secretariat of the [CBD] in  discussions in the [WTO's CTE] on issues relevant to the Pro tocol 
(c) To reinforce cooperation with the Codex Alimentarius Commission, the Office International des Epizooties and the Internatio nal Plant Protection 
Convention on issues of mutual relevance; … 
(f) To establish cooperation with the World Customs Organization,  the International Organization for Standardization (ISO), the  United Nations 
Transport of Dangerous Goods Sub-Committee, the International Air Transport Association and other relevant customs and transpor t organizations 
where biosafety issues are considered, with a view to developing a harmonized approach for the packaging and transport of livin g modified 
organisms in preparation for the consideration at the third mee ting of the Conference of the Parties serving as the meeting of the Parties to the 
Protocol of the need for and modalities of developing standards with regard to identification, handling, packaging and transpor t practices, in 
accordance with the medium-t erm programme of work.” 
  
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 Page 87Decision BS-II/8 
Options for 
Implementation of 
Article 8 " The [COP] serving as the[MOP] to the Cartagena Protocol on Biosafety... 
1. Decides  to keep the item on notification referred to in decision BS-I/12 under review with a view to elaborating and developing, if ap propriate, at 
its fourth meeting, modalities of implementation with respect to notification requirements under Article 8 of the Protocol, tak ing into account the 
information on national implementation and experiences on this ma tter gathered through interim national reports and the [BCH]; 
2. Recommends to Parties to the Protocol to consider elements and options rele vant to Article 8 of the Protocol, as well as the following ele ments, 
pending development of modalities referred to in paragraph 1 above:  
(a) Applying necessary measures to enforce the notification requirements; 
(b) Requiring the exporter to use the language as determined by the Party of import in the notification; 
(c) Acknowledging the right of a Party of transit to regulate the transport of living modified organisms through its territory,  including requiring 
communication in writing to the competent national authority of the Party of transit if so required by the regulations of that Party of transit." 
 
Decision BS-II/10 
Paragraphs 2(b) and 2(c) 
of Article 18 "The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
2. Urges  Parties to the Protocol and invite other Governments to take  necessary measures, taking into account their specific capabiliti es, to make sure 
that those requirements of paragraphs 2 (b) and 2 (c) of Article 18 of the Protocol as elaborated by decision BS-I/6 B are full y complied with; 
3. Further  urges Parties, especially those Parties of import, to make availabl e to the [BCH] information on their domestic requirements concerni ng 
imports of [LMOs] in general, and documentation requirements in particular, with respect to [LMOs] for contained use and for in tentional 
introduction into the environment, as part of the requirement set out in paragraph 3 of Article 20  of the Protocol for each Par ty to make available its 
laws, regulations and guidelines relevant to the implementation of the Protocol...". 
 
Decision BS-III/6 
Cooperation “The [COP-MOP]… 2. Commends  the Executive Secretary on his recent efforts to strength en cooperation with other organizations and initiatives, in 
particular as regards the cooperation with the World Trade Organization and requests the Executive Secretary to intensify efforts to gain the World 
Trade Organization observer status in the Sanitary and Phytos anitary (SPS) and the Technical Barriers to Trade (TBT) Committees ; 
3. Also requests  the Executive Secretary to: 
(a) Continue pursuing, reinforcing and intensifying, as the cas e may be, cooperative arrangements with all the organizations re ferred to in decision 
BS-II/6; 
Decision BS-III/10 
Handling, Transport, 
Packaging and 
Identification of Living 
Modified Organisms: 
Paragrah 2(a) of Article 
18 "The [COP] serving as the [MOP] to the Cartagena Protocol on Biosafety... 
1. Requests  Parties to the Protocol and urges  other Governments to take measures to ensure the use of a commercial invoice or other document 
required or utilized by existing documentation systems, or docu mentation as required by domestic regulatory and/or administrati ve frameworks, as 
documentation that should accompany [LMOs]  that are intended for direct use as food or feed, or for processing....;  
3. Further requests Parties to the Protocol and urges other Governments to take measures ensuring that the documentation accompanying [LMOs] 
that are intended for direct us e as food or feed, or for processing, provides the details of a contact point for further inform ation: the exporter, the 
importer, and/or any appropriate authority, when designated by a Government as the contact point;  4. Requests  Parties to the Protocol and urges other Governments to take measures ensuring that documentation accompanying [LMOs] intended for 
direct use as food or feed, or for processing, in commercial production and authorized in accord ance with domestic regulatory f rameworks, is in 
compliance with the requirements of the country of import, an d clearly states:  
(a) In cases where the identity of the [LMOs] is known through means such as identity preservation systems, that the shipment c ontains [LMOs] 
that are intended for direct use as food or feed, or for processing;  
(b) In cases where the identity of the [LMOs] is not known through means such as identity preservation systems, that the shipme nt may contain 
one or more [LMOs] that are intended for dir ect use as food or feed, or for processing;  
(c) That the [LMOs] are not intended for intentional introduction into the environment;  
(d) The common, scientific and, where ava ilable, commercial names of the [LMOs];  
(e) The transformation event code of the [L MOs] or, where available, as a key to acces sing information in the [BCH], its unique  identifier code;  
(f) The Internet address of the [BCH] for further information;   
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Page 88 and notes that in accordance with Ar ticle 24 of the Protocol, transboundary movements of  [LMOs] between Parties and non-Parties shall be 
consistent with the objective of the Protocol, and further notes that the specific requirements set out in this paragraph do not apply to such 
movements. In addition, in accordance with paragraph 2 of Artic le 24, Parties shall encourage non-Parties to adhere to the Prot ocol...". 
Decision BS-III/11 
Risk assessment and risk 
management "The [COP-MOP]...15.  Requests  the Executive Secretary to collaborate with relevant orga nizations such as the Food an d Agriculture Organization of 
the United Nations, to promote networking and interlinkages between experts in risk assessment of living modified organisms and  experts in other 
relevant fields of risk assessment and risk management (e.g., plant health, animal health, food safety), using, inter alia,  Internet portals such as the 
Biosafety Clearing-House and the International Portal on Food Safety, Animal & Plant Health; 
I. UNITED NATIONS FRAMEWORK CONVENTION ON CLIMATE CHANGE  
29. The UNFCCC does not directly restrict trade, but actions of countries implementing the UNFCCC could have trade implications. 
Article 3 
Principles "5. The Parties should cooperate to promot e a supportive and open international economic system that would lead to sustainable economic growth 
and development in all Parties, particularly developing country Parties, thus enabling them better to address the problems of c limate change.  
Measures taken to combat climate change, including unilateral ones,  should not constitute a means of arbitrary or unjustifiable  discrimination or a 
disguised restriction on international trade". 
Æ No adverse impacts on trade pursuant to policies and measur es adopted by Parties have b een reported to the UNFCCC. 
Article 4 
Commitments "2. The developed country Parties and other Parties included in An nex I commit themselves specifically as provided for in the f ollowing: 
(a) Each of these Parties shall adopt national policies and take corresponding measures on the mitigation of climate change, by  limiting its 
anthropogenic emissions of greenhouse gases and protecting and enhancing its greenhouse gas sinks and reservoirs.  These polici es and measures 
will demonstrate that developed countries are taking the lead in modifying longer-term trends in anthropogenic emissions consis tent with the 
objective of the Convention, recognizing that the return by the end of the present decade to earlier levels of anthropogenic em issions of carbon 
dioxide and other greenhouse gases not controlled by the Montreal Protocol would contribute to such modification, and taking in to account the 
differences in these Parties' starting poin ts and approaches, economic structures and resource bases, the need to maintain stro ng and sustainable 
economic growth, available technologies and other individual circ umstances, as well as the need for equitable and appropriate c ontributions by each 
of these Parties to the global effort rega rding that objective.  These Parties may implement such policies and measures jointly  with other Parties and 
may assist other Parties in contributing to the achievement of the objective of the Convention and, in particular, that of this  subparagraph".  
Æ Sets up the requirement for developed country Parties to adopt national policies and corresponding measures to mitigate climate  change. 
J. KYOTO PROTOCOL  
Article 2  "1. Each Party included in Annex I, in achieving its quantified emission limitation and reduction commitments under Article 3, in order to promote 
sustainable development, shall:  
(a) Implement and/or further elaborate policies and measures in accordance with  its national circumstances, such as:  
(i) Enhancement of energy efficiency in relevant sectors of the national economy;  
(ii) Protection and enhancement of sinks and reservoirs of greenhouse gases not controlled by the Montreal Protocol, taking int o account its 
commitments under relevant international environmental agreements ; promotion of sustainable forest management practices, affore station and 
reforestation;  (iii) Promotion of sustainable forms of agriculture in light of climate change considerations;  
(iv) Research on, and promotion, development and increased use of, new and renewable forms of energy, of carbon dioxide sequest ration 
technologies and of advanced and innovative environmentally sound technologies;   
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 Page 89(v) Progressive reduction or phasing out of market imperfections, fiscal incentives, tax and duty exemptions and subsidies in a ll greenhouse gas 
emitting sectors that run counter to the objective of the Convention and application of market instruments;  
(vi) Encouragement of appropriate reforms in relevant sectors aimed at promoting policies and measures which limit or reduce em issions of 
greenhouse gases not controlled by the Montreal Protocol;  
(vii) Measures to limit and/or reduce emissions of greenhouse gases not controlled by the Montreal Protocol in the transport se ctor;  
(viii) Limitation and/or reduction of methane emissions through re covery and use in waste management, as well as in the product ion, transport 
and distribution of energy.  
(b) Cooperate with other such Parties to enhance the individual  and combined effectiveness of their policies and measures adopt ed under this 
Article, pursuant to Article 4, paragraph 2(e )(i), of the Convention.  To this end, th ese Parties shall take steps to share the ir experience and 
exchange information on such policies and measures, including developing ways of improving their comparability, transparency an d effectiveness.  
The [COP] serving as the [MOP] to this Protocol shall, at its first session or as soon as practicable thereafter, consider ways  to facilitate such 
cooperation, taking into account all relevant information. 
2. The Parties included in Annex I shall pursue limitation or reduction of emissions of greenhouse gases not controlled by the Montreal Protocol 
from aviation and marine bunker fuels, working through the Inte rnational Civil Aviation Organization and the International Mari time Organization, 
respectively. 3. The Parties included in Annex I shall strive to implement polic ies and measures under this Article in such a way as to minim ize adverse effects, 
including the adverse effects of climate change, effects on international trade, and social, environmental and economic impacts  on other Parties, 
especially developing country Parties and in  particular those identified in Article 4, paragraphs 8 and 9, of the Convention, t aking into account 
Article 3 of the Convention.  The [COP] serving as the [MOP] to th is Protocol may take further action, as appropriate, to promo te the 
implementation of the provisions of this paragraph. 
4. The [COP] serving as the [MOP] to this Protocol, if it decides that it would be beneficial to coordinate any of the policies  and measures in 
paragraph 1(a) above, taking into account different national circumstances and potential effects, shall consider ways and means  to elaborate the 
coordination of such policies and measures". 
Articles 6, 12 and 17 Æ The Kyoto Protocol sets out three mechanisms: 
• Article 6:  Joint Implementation (projects between Anne x I countries to help meet a Party's commitments). 
• Article 12:  Clean Development Mechanism (The CDM allows Annex I Parties to invest in projects in developing countries to achie ve 
sustainable development, contribute to the objective of the Convention and assist Annex 1 Parties to comply with reduction comm itments). 
• Article 17:  Emissions Trading. 
Æ In Decision 2/CMP.1 the COP-MOP of Kyoto Protocol agreed on Principles, nature and scope of the mechanisms pursuant to Articles  6, 12 and 
17 of the Kyoto Protocol. 
Æ Guidelines for the implementation of Article 6 of the Kyoto Protocol are contained in Decision 9/CMP.1 of the COP-MOP of the Ky oto Protocol. 
Æ Modalities and procedures for the CDM as defined in Article 12 of  the Kyoto Protocol are contained in Decision 31/CMP.1 of the  COP-MOP of 
Kyoto Protocol. 
Æ Modalities, rules and guidelines for emissions trading under Artic le 17 of the Kyoto Protocol are contained in Decision 11/CMP .1  of the COP-
MOP of the Kyoto Protocol. 
  
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Page 90 K. INTERNATIONAL TROPICAL TIMBER AGREEMENT  
1. Provisions of the Agreement 
30. There are no provisions for trade measures in the ITTA, 1994.  Ho wever, following the entry into force of the ITTA, 1994, the m andate of the 
International Tropical Timber Organization (ITTO) on trade has been  updated and refined.  This is  reflected in six trade-relate d objectives of the agreement which 
are outlined in Article 1.  
Article 1 
Objectives "Recognizing the sovereignty of members over  their natural resources, as defined in Principle 1 (a) of the Non-Legally Binding Authoritative 
Statement of Principles for a Global Consensus on the Management, Conservation and Sustainable Development of all Types of Fore sts, the 
objectives of the International Tropical  Timber Agreement, 1994 (hereinafter referred to as "this Agreement") are:  … 
(b) To provide a forum for consultation to promote non-discriminatory timber trade practices; … 
(d) To enhance the capacity of members to implement a strategy for achieving exports of tropical timber and timber products fro m sustainably 
managed sources by the year 2000;  (e) To promote the expansion and diversification of international trade in tropical timber from sustainable sources by improvin g the structural 
conditions in international markets, by taking into account, on the one hand, a long term increase in consumption and continuit y of supplies, and, 
on the other, prices which reflect the costs of sustainable forest management and which are remunerative and equitable for memb ers, and the 
improvement of market access; …  
(h) To improve market intelligence with a vi ew to ensuring greater transparency in th e international timber market, including t he gathering, 
compilation, and dissemination of trade related data, including data related to species being traded; … 
(k) To improve marketing and distribution of tropical timber exports from sustainably managed sources; … 
(n) To encourage information-sharing on  the international timber market".  
Article 36   
Non-discrimination "Nothing in this Agreement author izes the use of measures to restrict or ban in ternational trade in, and in particular as they concern imports of and 
utilization of, timber and timber products".  
 
2. Decisions and Recommendations 
31. Examples of the decisions and recommendations adopted  by the ITTO Council (ITTC) include the following: 
Decision 3(X) Æ In June 1991, the ITTC committed itself by Decision 3(X) to the "ITTO Year 2000 Objective", which was the goal of having all t ropical timber 
entering international trade coming from sustainably managed sources by 2000.  Since then, the Council has approved policy stud ies and project 
financing for a number of activities to help member countries move toward this Objective.  The ITTO Year 2000 Objective has bee n incorporated in 
the operative objectives of ITTA, 1994 (Article 1(d)).  At its Twenty-ninth Session, the ITTC reaffirmed its commitment to movi ng as rapidly as 
possible towards achieving exports of tropical timber and timber products from sustainably managed sources pursuant to the ITTO  Objective 2000 
(Decision 2 (XXIX) adopted on 4 November 2000). 
The ITTO Yokohama 
Action Plan 2002-2006 Æ In November 2001, the ITTC adopted the ITTO Yokohama Action Plan 2002-2006, its third action plan (Decision 2 (XXXI), 3 Novemb er 2001). 
Decision 10 (XXXIV) Æ In May 2003, the ITTC decided to undertake a study on the costs and benefits of certification in selected ITTO member countrie s, to develop 
procedures for phased approaches to certification and to convene an international workshop to promote phased approaches to cert ification.   
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 Page 91Decision 12 (XXXIV) Æ In May 2003, the ITTC also decided to undertake a study which would: 
• Identify product standards, quality or gradi ng requirements, building codes, and technical regulations that may affect the trad e of tropical 
timber and timber products; 
• assess the possible impacts of product standards, quality or gr ading requirements, building codes, and technical regulations, o n trade in 
tropical timber, inter alia , with respect to panel products;  
• assess the capacity of tropical timber-producing countries to m eet existing and evolving product standards and technical regula tions for 
timber products in importing countries and, where gaps exist, identify and propose ways to address them and provide relevant as sistance to 
tropical timber producing countries; 
• propose recommendations for consideration by member countries and Council;  and 
• in the context of the Doha Development Agenda, report on tariffs, negotiations and the negotiating process as related to tropic al timber 
products at the Thirty-Sixth Session of the Council. 
Decision 2 (XXXVII) Æ In December 2004, the ITTC adopted a decision on enhanced  cooperation between ITTO and CITES for ramin and mahogany.  
 
L. UN FISH STOCKS AGREEMENT  
Article 17 
Non-members of Organi-
zations and Non-partici-
pants in Arrangements 
 "...4. States which are members of such organization [RFMOs] or participants in such arrangement shall exchange information wit h respect to the 
activities of fishing vessels flying the flags of States which ar e neither members of the organization nor participants in the arrangement and which are 
engaged in fishing operations for the relevant stocks.  They sha ll take measures consistent with this Agreement and internation al law to deter 
activities of such vessels which undermine the effectiveness of su bregional or regional conservation and management measures". 
Article 23 
Measures taken by a Port 
State "1. A port State has the right and the duty to take measures, in accordance with international law, to promote the effectivenes s of subregional, 
regional and global conservation and management measures.  When taki ng such measures a port State shall not discriminate in for m or in fact against 
the vessels of any State. 2. A port State may, inter alia , inspect documents, fishing gear and catch on board fishing vessels, when such vessels are voluntarily in its ports or at 
its offshore terminals. 
3. States may adopt regulations empowering the relevant nationa l authorities to prohibit landings and transshipments where it h as been established 
that the catch has been taken in a manner which undermines the effectiveness of subregional, regional or global conservation an d management 
measures on the high seas. 
4. Nothing in this article affects the exer cise by States of their so vereignty over ports in thei r territory in accordance with  international law". 
Article 33 
Non-parties to the 
Agreement "...2. States Parties shall take measures consistent with th is Agreement and international law to deter the activities of vesse ls flying the flag of non-
parties which undermine the effective implementation of this Agreement". 
  
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Page 92 M. ROTTERDAM CONVENTION ON THE PRIOR INFORMED CONSENT PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND PESTICIDES IN INTERNATIONAL 
TRADE  
1. Provisions of the Convention 
Preamble "…Recognizing that trade and environmental policies should be mutually supportive with a view to achieving sustainable developm ent, 
Emphasizing that nothing in this Convention shall be interpreted as implying in any way a change in the rights and obligations of a Party under any 
existing international agreement applying to chemicals in international trade or to environmental protection, 
Understanding that the above recital is not intended to create a hierarchy between this Convention and other international agre ements, 
Determined to protect human health, includ ing the health of consumers and workers, and the environment against potentially harm ful impacts from 
certain hazardous chemicals and pestic ides in international trade…". 
Articles 5, 6, 7 and 8 
 Æ Set out the procedure to list chemical s that are subject to the prior inform ed consent procedure in Annex III. 
Article 5 
Procedures for Banned 
or Severely Restricted 
Chemicals "1. Each Party that has adopted a final regulatory action shall no tify the Secretariat in writing of such action.  Such notific ation shall be made as soon 
as possible, and in any event no later than ninety days after the date on which the final regulatory action has taken effect, a nd shall contain the 
information required by Annex I, where available. 
2. Each Party shall, at the date of entry into force of this  Convention for it, notify the Secr etariat in writing of its final regulatory actions in effect at 
that time, except that each Party that has submitted notifications of final regulatory actions under the Amended London Guideli nes or the 
International Code of Conduct need not resubmit those notifications. 
3. The Secretariat shall, as soon as possible, and in any event no later than six months after receipt of a notification under paragraphs 1 and 2, verify 
whether the notification contains the information required by An nex I.  If the notification contains the information required, the Secretariat shall 
forthwith forward to all Parties a summary of the information received.  If th e notification does not co ntain the information r equired, it shall inform 
the notifying Pa rty accordingly. 
4. The Secretariat shall every six months communicate to the Parties a synopsis of the information received pursuant to paragra phs 1 and 2, including 
information regarding those notifications which do not contain all the information required by Annex I. 
5. When the Secretariat has received at l east one notification from each of two Prior Informed Consent regi ons regarding a part icular chemical that it 
has verified meet the requirements of Annex I, it shall forward them to the Chemical Review Committee.  The composition of the Prior Informed 
Consent regions shall be defined in a decision to be adopted by consensus at the first meeting of the [COP]. 
6. The Chemical Review Committee shall review  the information provided in such notifications and, in accordance with the criter ia set out in 
Annex II, recommend to the [COP] whether the chemical in question should be made subject to the Prior Informed Consent procedur e and, 
accordingly, be listed in Annex III". 
Article 6 
Procedures for Severely 
Hazardous Pesticide 
Formulations "1. Any Party that is a developing country or a country with an economy in transition and that is experiencing problems caused by a severely 
hazardous pesticide formulation under conditions of use in its territory, may pr opose to the Secretariat the listing of the sev erely hazardous pesticide 
formulation in Annex III.  In developing a proposal, the Party may draw upon technical expertise from any relevant source.  The  proposal shall 
contain the information required by part 1 of Annex IV. 2. The Secretariat shall, as soon as possible, and in any even t no later than six months after receipt of a proposal under para graph 1, verify whether 
the proposal contains the information required by part 1 of Annex IV.  If the proposal contains the information required, the S ecretariat shall 
forthwith forward to all Parties a summary of the information received.  If th e proposal does not cont ain the information requi red, it shall inform the 
proposing Party accordingly. 
3. The Secretariat shall collect the additional information set ou t in part 2 of Annex IV regarding the proposal forwarded unde r paragraph 2.  
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Secretariat shall forward the proposal and the related information to the Chemical Review Committee. 
5. The Chemical Review Committee shall review the information provided in the proposal and the additional information collected  and, in 
accordance with the criteria set out in part 3 of Annex IV, recommend to the [COP] whet her the severely hazardous pesticide for mulation in question 
should be made subject to the Prior Informed Consent procedure and, accordingly, be listed in Annex III". 
Article 7 
Listing of Chemicals in 
Annex III "1. For each chemical that the Chemical Re view Committee has decided to recommend for listing in Annex III, it shall prepare a draft decision 
guidance document.  The decision guidance document should, at a minimum, be based on the information specified in Annex I, or, as the case may 
be, Annex IV, and include information on us es of the chemical in a category other th an the category for which the final regulat ory action applies. 
2. The recommendation referred to in paragraph 1 together with the draft decision guidance document shall be forwarded to the [ COP].  The [COP] 
shall decide whether the chemical should be made subject to the Prior Informed Consent procedure and, accordingly, list the che mical in Annex III 
and approve the draft decision guidance document. 
3. When a decision to list a chemical in Annex III has been taken and the related decision guidance document has been approved by the [COP], the 
Secretariat shall forthwith communicate this information to all Parties". 
Article 8 
Chemicals in the Volun-
tary Prior Informed 
Consent Procedure "For any chemical, other than a chemical listed in Annex III, th at has been included in the vo luntary Prior Informed Consent pr ocedure before the 
date of the first meeting of the [COP], the [COP] shall decide at that meeting to list the chemical in Annex III, provided that  it is satisfied that all the 
requirements for listing in that Annex have been fulfilled". 
Æ In Decision RC-1/C, COP 1 decided to include 14 chemicals in Annex III. 
Article 9 
Removal of Chemicals 
from Annex III "1. If a Party submits to the Secretariat information that was not available at the time of the decision to list a chemical in Annex III and that 
information indicates that its listing may no longer be justified in accordance with the relevant criteria in Annex II or, as t he case may be, Annex IV, 
the Secretariat shall forward the informa tion to the Chemical Review Committee. 
2. The Chemical Review Committee shall revi ew the information it receives under paragrap h 1.  For each chemical that the Chemic al Review 
Committee decides, in accordance w ith the relevant criteria in Annex II or, as the case may be, Annex IV, to recommend for remo val from 
Annex III, it shall prepare a revised draft decision guidance document. 3. A recommendation referred to in paragraph 2 shall be forwarde d to the [COP] and be accompanied by a revised draft decision g uidance document.  
The [COP] shall decide whether the chemical should be removed from Annex III and whether to approve the revised draft decision guidance 
document. 4. When a decision to remove a chemical from Annex III has been taken and the revised decision guidance document has been appro ved by the 
[COP], the Secretariat shall forthwith comm unicate this information to all Parties". 
Æ Contains the procedure for de-listing a chemical from Annex III. 
Article 10 
Obligations in Relation 
to Imports of Chemicals 
Listed in Annex III  "1. Each Party shall implement appropriate legislative or administ rative measures to ensure timely  decisions with respect to th e import of chemicals 
listed in Annex III. 
2. Each Party shall transmit to the Secretar iat, as soon as possible, and in any event no later than nine months after the date  of dispatch of the 
decision guidance document referred to in paragraph 3 of Article 7, a response concerning the future import of the chemical con cerned.  If a Party 
modifies this response, it shall forthwith subm it the revised response to the Secretariat. 
3. The Secretariat shall, at the expiration of the time period in paragraph 2, forthwith address to a Party that has not provid ed such a response, a 
written request to do so.  Should the Party be unable to provid e a response, the Secretariat sh all, where appropriate, help it to provide a response 
within the time period specified in the last sentence of paragraph 2 of Article 11. 
4. A response under paragraph 2 shall consist of either: 
(a) A final decision, pursuant to legislative or administrative measures: 
(i) To consent to import; 
(ii) Not to consent to import;  or  
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Page 94 (iii) To consent to import only subject to specified conditions;  or 
(b) An interim response, which may include: 
(i) An interim decision consenting to import with or without specified conditions,  or not consenting to import during the inte rim period; 
(ii) A statement that a final deci sion is under active consideration; 
(iii) A request to the Secretariat, or to the Party that no tified the final regulatory action, for further information; 
(iv) A request to the Secretariat for assistance in evaluating the chemical. 
5. A response under subparagraphs (a) or (b) of paragraph 4 sh all relate to the category or categories specified for the chemic al in Annex III. 
6. A final decision should be accompanied by a description of any legislative or administrative measures upon which it is based . 
7. Each Party shall, no later than the date of entry into fo rce of this Convention for it, tr ansmit to the Secretariat response s with respect to each 
chemical listed in Annex III.  A Party th at has provided such responses under the Am ended London Guidelines or the Internationa l Code of Conduct 
need not resubmit those responses. 
8. Each Party shall make its responses under this Article availa ble to those concerned within its jurisdiction, in accordance w ith its legislative or 
administrative measures. 
9. A Party that, pursuant to paragraphs 2 and 4 above and paragraph 2 of Article 11, takes a decision not to consent to import of a chemical or to 
consent to its import only under specified conditions shall, if it has not already done so, simultaneously prohibit or make sub ject to the same 
conditions: 
(a) Import of the chemical from any source;  and 
(b) Domestic production of th e chemical for domestic use. 
10. Every six months the Secretariat shall inform all Parties of  the responses it has received.  Such information shall include  a description of the 
legislative or administrative measures on which the decisions have  been based, where available.  The Secretariat shall, in addi tion, inform the Parties 
of any cases of failure to transmit a response". 
Article 11 
Obligations in Relation 
to Exports of Chemicals 
Listed in Annex III "1. Each exporting Party shall: 
(a) Implement appropriate legislative or ad ministrative measures to communicate the resp onses forwarded by the Secretariat in a ccordance with 
paragraph 10 of Article 10 to those concerned within its jurisdiction; (b) Take appropriate legislative or administ rative measures to ensure that exporters within its jurisdiction comply with decisi ons in each response 
no later than six months after the date on which the Secretaria t first informs the Parties of such response in accordance with paragraph 10 of 
Article 10; (c) Advise and assist importing Partie s, upon request and as appropriate: 
(i) To obtain further information to help them to take action in accordance with para graph 4 of Article 10 and paragraph 2 (c) below;  and 
(ii) To strengthen their capacities and capabilities to  manage chemicals safely during their life-cycle. 
2. Each Party shall ensure that a chemi cal listed in Annex III is not exported from its territory to any importing Party that, in exceptional 
circumstances, has failed to transmit a response or has transmitted an interim response that does not contain an interim decisi on, unless: 
(a) It is a chemical that, at the time of import, is registered as a chemical in the importing Party;  or 
(b) It is a chemical for which evidence exis ts that it has previously been used in, or imported into, the importing Party and i n relation to which no 
regulatory action to prohibit its use has been taken;  or 
(c) Explicit consent to the import has been sought and received by the exporter through a designated national authority of the importing Party.  The 
importing Party shall respond to such a request within sixty da ys and shall promptly notify the Secretariat of its decision. 
The obligations of exporting Parties under this paragraph shall apply with effect from the expiration of a period of six months  from the date on which 
the Secretariat first informs the Parties, in accordance with paragraph 10 of Article 10 , that a Party has failed to transmit a  response or has 
transmitted an interim response that does not contain an interim decision, and sh all apply for one year". 
Article 12 
Export Notification "1. Where a chemical that is banned or se verely restricted by a Party is exported fr om its territory, that Party shall provide an export notification to 
the importing Party.  The export notification shall include the information set out in Annex V.  
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 Page 952. The export notification shall be provided for that chemical prior to the first export following adoption of the correspondin g final regulatory action.  
Thereafter, the export notification shall be provided before th e first export in any calendar y ear.  The requirement to notify before export may be 
waived by the designated national authority of the importing Party. 3. An exporting Party shall provide an updated export notifica tion after it has adopted a final regulatory action that results in a major change 
concerning the ban or severe restriction of that chemical. 
4. The importing Party shall acknowledge receipt of the first ex port notification received after the adoption of the final regu latory action.  If the 
exporting Party does not receive the acknowledge ment within thirty days of the dispatch of the ex port notification, it shall su bmit a second 
notification.  The exporting Part y shall make reasonable efforts to ensure that  the importing Party receives the second notific ation. 
5. The obligations of a Party set out in paragraph 1 shall cease when: 
(a) The chemical has been listed in Annex III; 
(b) The importing Party has provided a response for the chemical to  the Secretariat in accordance with paragraph 2 of Article 1 0;  and 
(c) The Secretariat has distributed the response to the Parties in accordance with paragraph 10 of Article 10". 
Article 13 
Information to 
Accompany Exported 
Chemicals "1. The COP shall encourage the World Customs Organization to assign specific Harmonized System customs codes to the individual  chemicals or 
groups of chemicals listed in Annex III, as appropriate.  Each Party shall require that, whenever a code has been assigned to s uch a chemical, the 
shipping document for that chemi cal bears the code when exported. 
2. Without prejudice to any requirements of the importing Party,  each Party shall require that both chemicals listed in Annex I II and chemicals 
banned or severely restricted in its terr itory are, when exported, subject to labelli ng requirements that ensure adequate avail ability of information 
with regard to risks and/or hazards to human health or the environment, taking into account relevant international standards. 
3. Without prejudice to any requirements of the importing Party, each Party may require that chem icals subject to environmental  or health labelling 
requirements in its territory are, when exported, subject to la belling requirements that ensure adequate availability of inform ation with regard to risks 
and/or hazards to human health or the environment, taking into account relevant international standards. 
4. With respect to the chemicals referred to in paragraph 2 that are to be used for occupational purposes, each exporting Party  shall require that a 
safety data sheet that follows an internationally recognized fo rmat, setting out the most up-to-date information available, is sent to each importer. 
5. The information on the label and on the safety data sheet should, as far as practicable, be given in one or more of the offi cial languages of the 
importing Party". 
Article 15 
Implementation of the 
Convention  "4. Nothing in this Convention shall be interpreted as restricting the right of the Parties to take action that is more stringe ntly protective of human 
health and the environment than that called for in this Convention, provided that such action is consistent with the provisions  of this Convention and 
is in accordance with international law". 
 
2. Decisions 
Decision RC-1/15 
Cooperation with the 
WTO " The Conference of the Parties... 
1. Welcomes  the enhanced cooperation between th e secretariat of the Convention and the World Trade Organization;   
2. Requests the secretariat: 
(a) To seek observer status in the CTE in Special Session of th e WTO and inform Parties when the request has been submitted and  when it has 
been granted; 
(b) To report to the COP on any meetings of the WTO that it a ttends, any substantive contacts that it has with the secretariat of the WTO and any 
general or factual information provided to or any other information requested by the secretariat of the WTO or any other body o f the WTO;   
(c) To ensure that at all times it does not provide an interpretation of the provisions of the Convention; 
(d) To monitor developments in the CTE in Special Session and report on such developments to the COP; 
(e) To reflect on ways of enhancing information flows on matters of common interest with the WTO; ...".  
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Æ At the invitation of the CTESS, the Secretariat of the Conventi on participated as an ad hoc ob server in the Special Session on  14 October 2005, 
21-22 February 2006, and on 6-7 July 2006.     
Æ At COP 3, the Secretariat of the Convention highlighted some of the progress made on the implementation of Decision RC-1/15.  
 
N. STOCKHOLM CONVENTION ON PERSISTENT ORGANIC POLLUTANTS  
Preamble "… Recognizing that this Convention and other international agreem ents in the field of trade and the environment are mutually s upportive…". 
Article 3 
Measures to Reduce or 
Eliminate Releases from 
Intentional Production 
and Use "1. Each Party shall: 
(a) Prohibit and/or take the legal and admini strative measures necessary to eliminate: 
(i) Its production and use of the chemicals listed in Annex A subject to the provisions of that Annex;  and 
(ii) Its import and export of the chemicals listed in Annex A in accordance with the provisions of paragraph 2;  and 
(b) Restrict its production and use of the chemicals listed in  Annex B in accordance with the provisions of that Annex". 
2. Each Party shall take measures to ensure: 
(a) That a chemical listed in Annex A or Annex B is imported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6;  or (ii) For a use or purpose which is permitted for that Party under Annex A or Annex B; 
(b) That a chemical listed in Annex A for which any production or  use specific exemption is in effect or a chemical listed in A nnex B for which 
any production or use specific exem ption or acceptable purpose is in  effect, taking into account any relevant provisions in exi sting international 
prior informed consent instru ments, is exported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B;  or 
(iii) To a State not Party to this Conventio n which has provided an annu al certification to the expor ting Party.  Such certific ation shall specify 
the intended use of the chemical  and include a statement that, w ith respect to that chemical, the importing State is committed to: 
a. Protect human health and the environment by taking the necessary measures to 
minimize or prevent releases; 
b. Comply with the provisions of paragraph 1 of Article 6;  and c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B. 
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or 
policy guidelines.  The exporting Party sh all transmit the certification to the Secr etariat within sixty days of receipt. 
(c) That a chemical listed in Annex A, for which production and use specific exemptions are no longer in effect for any Party, is not exported from 
it except for the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; 
(d) For the purposes of this paragraph, the term "State not Pa rty to this Convention" shall include, with respect to a particul ar chemical, a State or 
regional economic integration organization that has not agreed to  be bound by the Convention with respect to that chemical. 
3. Each Party that has one or more regulatory and assessment sche mes for new pesticides or new i ndustrial chemicals shall take measures to regulate 
with the aim of preventing the production and use of new pesticides  or new industrial chemicals which, taking into consideratio n the criteria in 
paragraph 1 of Annex D, exhibit the characteristics of persistent organic pollutants. 
4. Each Party that has one or more regulatory and assessment sc hemes for pesticides or industrial chemicals shall, where approp riate, take into 
consideration within these schemes the criteria in paragraph 1 of  Annex D when conducting assessments of pesticides or industri al chemicals 
currently in use.  
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 Page 975. Except as otherwise provided in this Convention, paragraphs 1 and 2 shall not apply to quantities of a chemical to be used f or laboratory-scale 
research or as a reference standard. 
6. Any Party that has a specific exemption in accordance with Annex A or a specific ex emption or an acceptable purpose in accor dance with 
Annex B shall take appropriate measures to ensure that any produ ction or use under such exempti on or purpose is carried out in a manner that 
prevents or minimizes human exposure and release into the environm ent.  For exempted uses or acceptable purposes that involve i ntentional release 
into the environment under conditio ns of normal use, such release shall be to the minimum extent necessary, taking into account  any applicable 
standards and guidelines". 
Article 4 
Register of Specific 
Exemptions  "1. A Register is hereby established for the purpose of identifying the Parties that have specific exemptions listed in Annex A  or Annex B.  It shall 
not identify Parties that make use of the provisions in Annex A or  Annex B that may be exercised by all Parties.  The Register shall be maintained by 
the Secretariat and shall be available to the public.  2. The Register shall include:   
(a) A list of the types of specific exemptions reproduced from Annex A and Annex B; 
(b) A list of the Parties that have a specific exemption listed under Annex A or Annex B;  and (c) A list of the expiry dates for each registered specific exemption. 
3. Any State may, on becoming a Party, by means of a notification in writing to the Secretariat, register for one or more types  of specific exemptions 
listed in Annex A or Annex B. 4. Unless an earlier date is indicated in the Register by a Party, or an extension is granted pursuant to paragraph 7, all regi strations of specific 
exemptions shall expire five years after the date of entry into force of this Convention with respect to a particular chemical.  
5. At its first meeting, the [COP] shall decide upon  its review process for the entries in the Register. 
6. Prior to a review of an entry in the Register, the Party c oncerned shall submit a report to the Secretariat justifying its c ontinuing need for 
registration of that exemption.  The report shall be circulated by the Secretariat to all Parties.  The review of a registratio n shall be carried out on the 
basis of all available information.  Thereupon, the [COP] may make such recommendations to the Party concerned as it deems appr opriate.  
7. The [COP] may, upon request from the Party concerned, decide to extend the expiry date of a specific exemption for a period of up to five years.  
In making its decision, the [COP] shall take due account of the special circumstances of the developing country Parties and Par ties with economies in 
transition. 
8. A Party may, at any time, withdraw an entry from the Regi ster for a specific exemption upon written notification to the Secr etariat.  The 
withdrawal shall take effect on the date specified in the notification.  
9. When there are no longer any Parties registered for a particular type of specific exemption, no new registrations may be mad e with respect to it". 
Æ Establishes a register of specific exemptions for Parties for production or use of POPs listed in Annexes A or B. 
Article 8 
Listing of chemicals in 
Annexes A, B and C Æ Sets out the procedures for listing POPs in Annexes A, B and C. 
III. SUPPORTIVE MEASURES 
(a) IPPC 
Article XX – Technical Assistance   
"The contracting parties agree to promote the provision of techni cal assistance to contracting par ties, especially those that a re developing contracting parties, either bilaterally or 
through the appropriate international organizations, with the ob jective of facilitating the implementation of this Convention".   
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Page 98 (b) ICCAT 
Æ Contracting Parties have access to scientific research, statistical  database and other information.   They can also obtain techn ical assistance in establishing their statistical 
systems, and in receiving tr aining from the Commission.   
Æ Funding of many of the Commission’s activities is through the regular budget, provided by Contracting Party contributions.  Spe cial funding arrangements have been 
established, with funds from the public and private sectors. 
(c) CITES 
Decision Conf. 13.79-13.83 – National laws for implemen tation of the Convention  
"...Directed to the Secretariat, the Secretariat shall: 
a) with regard to Parties with legislation in Category 2 or 3 or not yet categorized, compile and analyse the information submi tted by Parties on legislation adopted before the 
14th meeting of the Conference of the Parties to fulfil the require ments laid down in the text of the Convention and Resolution  Conf. 8.4; 
b) prepare or revise the analyses of national legislation and the categories, and advise the Parties concerned of the initial o r revised analyses, specifying any requirements that are 
not yet met; c) prepare or revise the analyses of national legislation and th e categories, and advise the Parties concerned of the initial o r revised analyses, specifying any requirements that are 
not yet met; 
i) legal guidance in the preparation of necessary legislative measures; 
ii) training of CITES authorities and other relevant bodies responsible for the formulation of wildlife trade policies or legis lation; and 
iii) any specific support relevant to the fulfilment of the legislative requirements for the implementation of CITES; 
d) report at the 53rd and subsequent meetings of the Standing Committee on Parties’ progress in enacting adequate legislation a nd, if necessary, recommend the adoption of 
appropriate compliance measures, including suspension of trade pursuant to decisions taken by the Standing Committee; 
e) identify for the Standing Committee any co untries that require attention as a priority under the National Legislation Projec t; and 
f) report at the 14th meeting of the Conference of the Parties on: 
i) the legislation adopted by the Parties to implement the Conv ention and any recommendations relating to Parties that have not  adopted adequate legislation for 
implementation of the Convention; and ii) any progress concerning technical assi stance provided to the Parties in the development of their national legislation for i mplementation of CITES." 
Decision 13.87 –E nforcement Matters 
"...Directed to the Secretariat,  
The Secretariat shall increase its efforts on capacity building and training of CI TES enforcement officers, in particular in de veloping countries, countries with economies in 
transition and small island developing States, and assist in provi ding expertise also using regional organizations such as the one existing under the Lusaka Agreement."  
Æ CITES is funded through a Trust Fund administered by UNEP.  CITES projects are funded through donor organizations and countries .  Donor countries include the 
European Communities, Australia, Belgium, Denmark, Finland, Germa ny;  Hong Kong (China), Japan, Netherlands, Norway, Sweden, Sw itzerland, the United Kingdom of Great 
Britain and Nothern Ireland and the United States.  Funds have also been provided by approved non-governmental organizations. 
Æ There are two types of CITES projects: (1) "Administrative projects" include, inter alia :  those related to the funding of participants to CITES CoPs or other meetings;  technical 
assistance (e.g. support in the development of CITES-related legi slation);  training;  and the provision of information (publis hed and electronic);  (2) "S pecies" projects are those 
that fund scientific research related to a particular animal or plant species (e.g. status survey, management and conservation of the African grey parrot in one or more countries). 
Æ The CITES Secretariat provides technical assi stance to developing countries through sp ecial programmes.  These programmes aim t o raise the capacity of the Parties to 
implement the Convention.  CITES' training activities are coordinated by the Capacity Bu ilding Unit (CBU).  Capacity-building a ctivities include:  workshops, seminars, training 
packages, dissemination of information through Internet and News letter, technical assistance, etc.   The Scientific Coordination  Unit (SCU) provides assistance to the CITES Parties 
to enhance the scientific basis for decision-making in CITES.  SCU is responsible for workshops on non-detriment findings and q uota management, as well as the creation of 
identification manuals.  Compliance and enforcement are also impor tant focal activities of the CITES Secretariat.  The Senior O fficer for Anti-smuggling, Fraud and Organized  
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 Page 99Crime (AFOC) provides technical assistance to enforcement officer s in relation to allegations of illegal trade, organizes enfor cement seminars and works with CBU to  preparate 
customs/enforcement training packages. The Le gal Affairs and Trade Policy Unit (LATPU) monitors national reports, responds to p ermit queries and provides legal and policy 
advice for thedevelopment of national legislation, review of national wildlife trade policies and adoption of measures to promo te and achieve compliance).  The Convention 
Support Unit (CSU) assists the Parties in und erstanding CITES provisions and provides logistic support in the organization of C ITES meetings.  
Æ Many Parties have asked the Secretariat fo r advice or assistance in the development of legislation to implement CITES.  The Sec retariat has responded in a variety of ways, 
including drafting models of law, developing a legislative checklist, directing requests for assistance to the relevant UNEP re gional offices (e.g. for certain Latin American 
countries), missions by Secretariat staff,  and providing written advice and/or comments on draft legislation.  This assistance could be further developed to address the interaction 
between environmental and trade legislation, as well as the n ecessary institutional co-operation between Ministries of Environm ent and Ministries of Trade. 
Æ The remaining external contributions receive d by the Secretariat are used on species-re lated surveys, a number of which were ai med at gathering information on a specific 
population’s conservation status with a view to devising sustainable management programmes.  Some of this financial support has  also come from users of wildlife.  Species 
covered in surveys with a sustainable use dimension include cats,  parrots, pythons, crocodilians , lizards, corals and orchids.  
Æ Specific programmes include: 
1.   A new Legal Affairs and Trade Policy Unit  has been created   to assist the Parties , inter alia , in the development of "trade and environment" policies and to prepare "trade and 
environment" analyses for presentation and discussion at meetings of the CoP and fo r consideration by fora such as the WTO. 
2. T.I.G.E.R.S (Trade Infraction and Global  Enforcement Recording System) database:  The CITES Secretariat regularly prepares a  report on infractions or the types of 
fraud/smuggling employed.  Where serious infractions exist, they are registered in the T.I.G.E.R.S database and reported to the  CITES Standing Committee who may take 
appropriate measures to remind Stat es of their signatory obligations. 
3. National legislation project:  Parties to CITES have precise ly defined an approach, the National Legislation Project, for re viewing and evaluating domestic measures to 
implement the Convention.  Three categories and four criteria are used to assess a Part y’s national legislation.  The project h as been operating since 1992. 
4. MIKE (Monitoring of the Illegal Killing of  Elephants Programme).  The objectives of  this programme are to: measure levels an d trends in the illegal hunting of elephants; 
determine changes in these trends over time; and determine the factors causing or associ ated with such changes, and to try and assess in particular to what  extent observed trends 
are a result of any decisions taken by the CoP to CITES.   
5. ETIS (Elephant Trade Information System). This comprehensiv e information system tracks illegal trade in ivory and other elep hant products.   
6. Species programmes on trade in falcons, ha wksbills turtles, mahogany and sturgeons. 
7. The Bushmeat Programme concerning the trade in meat of  any terrestrial wild animal  (see Resolution Conf. 13.11). 
(d) CCAMLR 
No provisions 
(e) Montreal Protocol 
Æ Article 10 (as modified by the London Amendment) established a Multilateral Fund for incremental costs of phasin g out ODS by developing countries.  As of April 2006, the 
Fund has disbursed US$1.984 billion through more than 5,250 pr ojects and activities in 139 developing countries for the purpose  of institutional strengthening, training, project 
preparation, and implementation of investment projects.  The Fund has the obligation to meet all the agreed incremental costs o f developing countries for implementing the control 
measures (ie. changing from ODS technologies to more ozone-friendly technologies and phasing out their consumption of ODS in ac cordance with the Protoc ol.  The budget has 
been replenished in 1993, 1996, 1999  2002, and 2005, and the allocations so far have been as follows (Period Amount in US$ in Millions):  $240 (1991- 1993); $455 (1994 - 
1996);  $466 (1997 to 1999);  $440 (2000 to 2002);  $474 (2003-2005); $400.4 (2006-2008). 
Æ for more information on the Fund, see http://www.multilateralfund.org/ 
Æ The Global Environmental Facility (GEF) also provides funds to count ries with economies in transitio n.  There are a number of G EF-eligible countries that are Parties to the 
Protocol, where the production or consumption of ODS is too high  to qualify for support under the Multilateral Fund.  These are  mainly countries in Central and Eastern Europe, 
and the former Soviet Union.  The same criteria apply for the funding of ozone projects under the GEF as under the Multilateral  Fund.  The GEF has allocated US$160 million for 
17 CEIT countries (countries with economies in  transition) in the phase-out of Annex A and B substances, and spent an additiona l $60 million to assist these countries with the  
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Page 100 phase-out of HCFCs and Methyl Bromide. 
Æ Technology Transfer under Article 10A occurs under fair and most favourable conditions. 
(f) Basel Convention 
Æ UNEP administers two trust funds for the Basel Convention: 
1. A fund to meet the operational costs of the Convention (mainly costs of meetings of the Partie s and for the Secretariat) whe re contributions by Parties are based on the UN scale 
of assessment and; 
2. A technical cooperation fund to assist developing countries and other countries in need of assistance to implement the Conve ntion.  Funds receive d are from voluntary 
contributions  and may be earmarked by donors for specific activities.   
Æ Basel has no specific financial mechanism to promote cap acity building and to facilitate  technology transfer.   
Æ Capacity building is carried out by the Basel Convention Region al Centres (BCRCs) and by Partie s. The Secretariat plays a faci litative role.  With the adoption of the Basel 
Declaration on Environmentally Sound Manageme nt in 1999, efforts increased  to assist Parties to minimize generation of hazardou s and other wastes and to manage these wastes in 
an environmentally sound manner.  Parties agreed to provide US$300,000 per year over a three-year period (2000-2002).  The COP,  at its sixth meeting in December 2002, adopted 
a Strategic Plan for the implementation of the Basel Convention to  2010, building on and using the framework of the 1999 Minist erial Basel Declaration on Environmentally Sound 
Management.  Under the Strategic Plan the Parties approved US$1 ,200,000 for 21 projects being carried out by the BCRCs and the Parties.  For the period 2005-2006 there is a 
request of US$2,750,255 in 2005 and US$2,217,171 in 2006, but  sufficient funds are not yet available to continue activities for  the implementation of the Basel Declaration, the 
Strategic Plan and the Basel Convention. 
Æ At COP-5, the Parties decided to enlarge the scope of the Technical Coop eration Trust Fund, on an interim basis, to assist tho se Parties which are developing countries or 
countries with economies in transition in cases of emergency and compensation for da mage resulting from incidents arising from the transboundary movements of hazardous wastes 
or other wastes and their disposal. This interim emergency mechanism was to be funded from voluntary contributions made for thi s purpose. At COP6, the Parties adopted 
guidelines for the interim emergency mechanism. The guidelines focus on emergency assistance, co mpensation for damage to the en vironment, capacity building, technology 
transfer, and developing measures to prevent accidents and damage  to the environment caused by th e transboundary movement of wa stes and their disposal.  The COP invites 
developing countries and countries with economies in transition to submit to the Secretariat project proposals for development of capacity building and transfer of technology, and 
encourages Parties and the Secret ariat to continue working on the improvement of the existing mechanism, or on establishment of  a new mechanism, if necessary. The 
compensation element of the interim emergency mechanism will only enter into effect when the Protocol on Liability and Compensa tion enters into force. Contributions have been 
received for the interim emergency mechanism. The first request for assistance under this mechan sim was received from, and gran ted to, Côte d’Ivoire in 2006 in connection with 
the incident of toxic waste dumping in Abidjan which took pl ace in August 2006. 
Æ At COP7, Parties adopted a Ministerial Statement on Partnership for meeting the Global Waste Challenge that provides fundament al policy direction to Parties and the other 
stakeholders, focusing on implem enting life-cycle approach, integrat ed waste management and region al approaches for priority wa ste streams such as POPs wastes, biomedical and 
healthcare wastes, electronic wastes, used lead-acid batte ries and hazardous wastes mixed with hazardous wastes. 
Æ At COP-8, the Parties took note of cost estimates provided  by the Secretariat for a number of activities planned for 2007-2008  aimed at addressing the priority waste streams 
identified by COP-7, for funding through the Basel Convention Te chnical Cooperation Trust Fund. The implementation of these act ivities will, therefore, be dependent on funding 
through the Technical Cooperation Trust Fund  or from external sources of funding. CO P-8 also called upon Parties, use and suppo rt the Basel Convention regional and coordinating 
centres in the implementation of activities aimed at supporting implementation of the Convention. A decision on resource mobili zation also called for increased efforts to identify 
sources of funding to support implementation of the Convention, including through the Global Environmental Facility and other m ultilateral sources of funding.  Several decisions 
adopted by COP-8 highlighted the importance of cooperation and coordination between the Basel Convention, the Stockholm Convent ion and the Rotterdam Convention, in the 
conduct of relevant activities. 
(g) CBD 
Article 17 – Exchange of Information 
"...2. Such exchange of information shall include exchange of results of technical, scientific and socio-economic research, as well as information on training and surveying  
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where feasible, include repatriation of information".  
Article 18 – Technical and Scientific Cooperation 
"...3. The [COP], at its first meeting, shall determine how to  establish a clearing-house mechanism to promote and facilitate t echnical and scientific cooperation. 
4. The Contracting Parties shall, in accordance with national le gislation and policies, encourage and develop methods of cooper ation for the development and use of technologies, 
including indigenous and traditional technologies, in pursuance of the objectives of this Convention.  For this purpose, the Co ntracting Parties shall also promote cooperation in the 
training of personnel and exchange of experts". 
Æ The financial mechanism for the CBD is the GEF.  Since its inception, GEF has allocated US$2,279.17 million (34% of its resour ces) for biodiversity and biosafety with a 
leverage of US$5,457.01 million as co-f inancing. The funding from the GEF has supported biodiversity enabling activities in ove r 140 developing country parties and parties with 
economies in transition, including activities supporting the prepar ation of national biodiversity strategies and action plans ( NBSAPs) and the preparation of national reports (see 
below for Parties' reporting obligation under the Convention).    
(h) Cartagena Protocol 
Article 20 – Information Sharing and the Biosafety Clearing-House (BCH) 
"1. A [BCH] is hereby established as part of the clearing-house mechanism under Article 18, paragraph 3, of the Convention, in order to: 
(a) Facilitate the exchange of scientific, technical, environmen tal and legal information on, and experience with, [LMOs];  and  
(b) Assist Parties to implement the Protoc ol, taking into account the spec ial needs of developing coun try Parties, in particula r the least developed and small island developing 
States among them, and countries with economies in transition as we ll as countries that are centres  of origin and centres of ge netic diversity.  
2. The [BCH] shall serve as a means through which information is made available for the purposes of paragraph 1 above.  It shal l provide access to information made available by 
the Parties relevant to the implementation of the Protocol.  It shall also provide acc ess, where possible, to other internation al biosafety information exchange mechanisms. 
3. Without prejudice to the protection of confidential information, each Party shall ma ke available to the [BCH] any informatio n required to be made available to the [BCH] under 
this Protocol, and: 
(a) Any existing laws, regulations and guidelines for implementa tion of the Protocol, as well as information required by the Pa rties for the advance informed agreement 
procedure;   
(b) Any bilateral, regional and multila teral agreements and arrangements;  
(c) Summaries of its risk assessments or environmental reviews of  [LMOs] generated by its regulatory process, and carried out i n accordance with Article 15, including, where 
appropriate, relevant information regarding products thereof, namely, processed materials that are of [LMO] origin, containing detectable novel combinations of replicable 
genetic material obtained through the use of modern biotechnology;  
(d) Its final decisions regarding the importation or release of [LMOs];  and (e) Reports submitted by it pursuant to Article 33, including th ose on implementation of the adva nce informed agreement procedu re.  
4. The modalities of the operation of the [BCH], including report s on its activities, shall be considered and decided upon by t he COP serving as the MOP to this Protocol at its first 
meeting, and kept under review thereafter". 
Æ In 2004, COP-MOP 1 adopted modalities for the operation of the BC H (Decision BS-I/3), which outline the role of the BCH, its ch aracteristics, its administration, the role of 
BCH focal points, modalities for technical overseeing and advice, th e obligations of partner organizations, reporting arrangeme nts, and modalities for periodic review by the COP-
MOP. 
Article 22 – Capacity-Building 
"1. The Parties shall cooperate in the development and/or stre ngthening of human resources and institutional capacities in bios afety, including biotechnology to the extent that it is 
required for biosafety, for the purpose of the effective implementation of this Protocol, in developing country Parties, in par ticular the least developed and small island developing 
States among them, and in Parties with economies in transition,  including through existing global, regional, subregional and na tional institutions and organizations and, as 
appropriate, through facilitating private sector involvement. 
2. For the purposes of implementing paragraph 1 above, in relation to cooperation, the needs of developing country Parties, in particular the least developed and small island 
developing States among them, for financial resources and access to and transfer of technology and know-how in accordance with the relevant provisions of the Convention, shall  
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Page 102 be taken fully into account for capacity-building in biosafety.  Cooperation in capacity-building shall, subject to the differe nt situation, capabilities and requirements of each Party, 
include scientific and technical training in the proper and safe management of biotechnology, and in the use of risk assessment  and risk management for biosafety, and the 
enhancement of technological and institutional capacities in biosaf ety.  The needs of Parties with economies in transition shal l also be taken fully into account for such capacity-
building in biosafety". 
Æ In 2004, COP-MOP 1 adopted interim guidelines for the roster of experts on biosafety (Decision BS-I/4) to provide assistance, u pon request, to developing countries and 
countries with economies in transition Parties to the Protocol in risk assessment and risk management, and in capacity building .  It also adopted interim guidelines for the pilot 
phase of the voluntary fund for the roster of experts.  
Æ COP-MOP 3 requested the Liaison Group on Capacity-Building for Biosafety to develop, for consideration at the 4th meeting of the Protocol, draft criteria and minimum 
requirements (including minimum qualifications or experience), for experts to be included in the roster to assist countries in making their nominations to the roster and in re-
assessing the nominations already made.  The COP-MOP also reques ted the Liaison Group to explore the possibility of establishin g a quality control mechanism.  
Æ In Decision BS-I/5 on capacity building, COP-MOP 1 also adopt ed an action plan for building capacities for the effective imple mentation of the Protocol, a coordination 
mechanism and indicators for monitoring implementation of the action plan.  
Æ In  Decision BS-III/3, COP-MOP 3 adopted an updated version of  the Action Plan for Building Capacities for the Effective Imple mentation of the Protocol, and invited the GEF, 
developed country Parties and Governments, as well as relevant organizations to increase their financial and technical support to developing countries and countries with economies 
in transition for the implementation of the Action Plan.  
Article 28 – Financial Mechanism and Resources 
"...2. The financial mechanism established in Article 21 of th e Convention shall, through the institutional structure entrusted  with its operation, be the financial mechanism for this 
Protocol. 3. Regarding the capacity-building referred to in Article 22 of this Protocol, the [COP] serving as the [MOP] to this Protocol,  in providing guidance with respect to the financial 
mechanism referred to in paragraph 2 above, for consideration by the [COP], shall take into account the need for financial reso urces by developing country Parties, in particular the 
least developed and the small island developing States among them. 
4. In the context of paragraph 1 above, the Parties shall also take into account the needs of the developing country Parties , in particular the least developed and the small island 
developing States among them, and of the Parties with economie s in transition , in their efforts to identify and implement thei r capacity - building requirements for the purposes of 
the implementation of this Protocol. 
6. The developed country Parties may also provide, and the develo ping country Parties and the Parties with economies in transit ion avail themselves of financial and technological 
resources for the implementation of the provisions of this Pr otocol through bilateral, regional and multilateral channels.". 
Æ Following the recommendation from the first meeting of the COP-MO P, the COP, in its decision VI I/20, provided detailed guidance  to the GEF with regard to the 
Cartagena Protocol, including the eligibility criteria, strategy and programme priorities. 
Æ In November 2000, the GEF Council approved an initial strategy fo r assisting countries to prepare for the entry into force of t he Cartagena Protocol on Biosafety, together with a 
global UNEP-GEF project to assist all eligible countries to develop national biosafety frameworks (NBFs).  The project was laun ched in June 2001, and has assisted 123 countries.  
Under the initial strategy, the GEF also provided support to 12 demonstration projects for capacity building in implementation of NBFs. 
Æ In November 2003, the GEF approved an add-on project to the UNEP-GEF project on the Development of NBFs entitled Building Capac tiy for Effective Participation in the 
BCH of the Cartagena Protocol.   
Æ In Decision BS-II/5
 , COP-MOP encouraged all donors and their agencies as well as th e GEF to simplify, to the extent  possible, their project cycle  requirements in order to 
expedite access, by develo ping country Parties and the Partie s with economies in tran sition, to the financ ial resources needed to assist the implementation of the Protocol. 
(i) UNFCCC 
Article 4 – Commitments 
"… 3. The developed country Parties and other developed Parties included in Annex II shall provide new and additional financial  resources to meet the agreed full costs incurred by 
developing country Parties in complying with their obligations under Article 12, paragraph 1.  They shall also provide such fin ancial resources, including for the transfer of 
technology, needed by the developing country Parties to meet th e agreed full incremental costs of  implementing measures that ar e covered by paragraph 1 of this Article and that  
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commitments shall take into account the need for adequacy and predictability in the flow of funds and the importance of appropr iate burden sharing among the developed country 
Parties. 4. The developed country Parties and other developed Parties in cluded in Annex II shall also assist the developing country Part ies that are particularly vulnerable to the adverse 
effects of climate change in  meeting costs of adaptation to those adverse effects. 
5. The developed country Parties and other developed Parties  in cluded in Annex II shall take all practicable steps to promote,  facilitate and finance, as appropriate, the transfer of, 
or access to, environmentally sound technologies and know-how to other Parties, particularly developing country Parties, to ena ble them to implement the provisions of the 
Convention.  In this process, the developed country Parties shall support the development and enhancement of endogenous capacit ies and technologies of developing country 
Parties.  Other Parties and organizations in a position to do so  may also assist in facilitating the transfer of such technolog ies … 
7. The extent to which developing country Parties will effec tively implement their commitments under the Convention will depend  on the effective implementation by developed 
country Parties of their commitments under the Convention related to financial resources and tran sfer of technology and will ta ke fully into account that economic and social 
development and poverty eradication are the first and ove rriding priorities of the de veloping country Parties. 
8. In the implementation of the commitments in this Article, th e Parties shall give full consider ation to what actions are nece ssary under the Convention, including actions related to 
funding, insurance and the transfer of technology, to meet the specific needs and concerns of developing country Parties arisin g from the adverse effects of climate change and/or 
the impact of the implementation of response measures…". Æ  A Consultative Group of Experts on National Communications from "Non-Annex 1 Parties" (CGE) helps developing countries prepar e national reports on climate change 
issues.  A Least Developed Country Expert Group (LEG) advises such nations on establishing programmes for adapting to climate c hange and an Expert Group on Technology 
Transfer (EGTT) enhances technology transfer activities under the Convention. 
Article 9 – Subsidiary Body for Scientific and Technological Advice 
ÆThis subsidiary body is charged with providing advice on "ways and means of supporting endogenous capacity building in developi ng countries.",  
Article 11 – Financial Mechanism 
Æ Establishes a financial mechanism (the GEF) to provide fina ncial resources, including for th e transfer of technology.   
Æ GEF covers the difference (or "increment") between the costs of a project undertaken with global  environmental objectives in m ind, and the costs of an alternative project that 
the country would have implemented in the absence of global environmental concerns.  Since 1991, approximately US$ 2 billion wa s provided in grants from the GEF Trust Fund 
to climate change activities. 
Æ  Further financial resources are provided for in the Special Cl imate Change Fund (SCCF) and the Least Developed Countries Fund  (LDCF).  The SCCF will finance projects 
relating to adaptation;  technology transfer  and capacity building;  energy, transpor t, industry, agriculture, forestry and was te management;  and economic diversification.  The 
LDCF will support a work programm e to assist LDCs to carry out, inter alia , the preparation and implementation of national adaptation programmes of action. 
At COP 7 (Marrakech, November/December 2001),  Parties established frameworks for capac ity-building for devel oping countries and  countries with economies in transition 
(Decisions 2/CP.7 and 3/CP.7) to help these countries comply with their obligations under the Convention.   
(j) Kyoto Protocol 
Article 11 
"... 2. In the context of the implementation of Article 4, para graph 1, of the Convention, in accordance with th e provisions of  Article 4, paragraph 3,  and Article 11 of the 
Convention, and through the entity or entities entrusted with the operation of the financial mechanism of the Convention, the d eveloped country Parties and other developed Parties 
included in Annex II to the Convention shall:  
(a) Provide new and additional financial resources to meet the ag reed full costs incurred by developing country Parties in adva ncing the implementation of existing commitments 
under Article 4, paragraph 1(a), of the Convention that are covered in Article 10, subparagraph (a); and  (b) Also provide such financial resources, including for the transfer of technology, needed by the developing country Parties t o meet the agreed full incremental costs of 
advancing the implementation of existing commitments under Article 4, paragraph 1, of the Convention that are covered by Articl e 10 and that are agreed between a developing 
country Party and the international entity or entities referred to in  Article 11 of the Convention, in accordance with that Art icle.   
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Page 104 The implementation of these existing commitments shall take into account the need for adequacy and predictability in the flow o f funds and the importance of appropriate burden 
sharing among developed country Parties. The guidance to the en tity or entities entrusted with the operation of the financial m echanism of the C onvention in relevant decisions of 
the Conference of the Parties, incl uding those agreed before the adoption of this Protocol, shall apply mutatis mutandis  to the provisions of this paragraph.  
3. The developed country Parties and other developed Parties in Annex II to the Convention may also provide, and developing cou ntry Parties avail themselves of, financial 
resources for the implementation of Article 10, through bilateral, regional and other multilateral channels." 
(k) ITTA 
Æ Article 20 provides for the establishment of the Special Account  comprising of the Pre-Proj ect Sub-Account and the Proj ect Sub-Account.  The sources of finance for the 
Special Account may come from the Common Fund for Commodities, regional and international financial institutions and voluntary contributions.  The resources of the Special 
Account shall be used only for approved ITTO pre-projects and pr ojects.  Since it became operationa l in 1987, the ITTO has fund ed over 700 projects, pre-projects and activities 
for a total cost of over US$ 280 million. 
Æ Article 21  of the ITTA, 1994 provides for the establishment of the Bali Partnership Fund  for the sustainable management of tropical timber-producing forests.  The fund is 
exclusively reserved for producing members to achieve the objective of Art 1 (d) of the ITTA, 1994 and is additional to the Spe cial Account.   
(l) UN Fish Stocks Agreement 
Æ Part VII on "Requirements of Developing States" (Articles 24-26) provides for special assistance in favour of developing State s in the implementation of the Agreement, in 
recognition of their special requirements in relation to conserva tion and management of straddling fish stocks and highly migra tory fish stocks and development of fisheries for 
such stocks.  Such assistance also applies in respect to the conservation and management of straddling fish stocks and highly m igratory fish stocks in areas under national 
jurisdiction of developing coastal States (Part I, Article 3.3).  
Article 24 – Recognition of the speci al requirements of developing States 
" 1. States shall give full recognition to the special requirement s of developing States in relation to conservation and manage ment of straddling fish stocks and highly migratory fish 
stocks and development of fisheries for such stocks. To this end, States shall, either directly or through the United Nations D evelopment Programme, the Food and Agriculture 
Organization of the United Nations and other specialized agencies, the Global Environment Facility, the Commission on Sustainab le Development and other appropriate 
international and regional organizations and bodies, provide assistance to developing States." 
Article 25 – Forms of cooperation with developing States 
"1. States shall cooperate, either directly or through subregional, regional or global organizations: 
(a) to enhance the ability of developing St ates, in particular the least-developed am ong them and small island developing State s, to conserve and manage straddling fish stocks 
and highly migratory fish stocks and to develop their own fisheries for such stocks; 
(b) to assist developing States, in particular the least-devel oped among them and small island developing States, to enable the m to participate in high seas fisheries for such 
stocks, including facilitating access to such fi sheries subject to articles 5 and 11;  and 
(c) to facilitate the participation of developing States in subr egional and regional fisheries management organizations and arr angements 
2. Cooperation with developing States for the purposes set out in  this article shall include the provision of financial assista nce, assistance relating to human resources development, 
technical assistance, transfer of technolo gy, including through joint venture arrangements, and advisory and consultative servi ces. 
3. Such assistance shall, inter alia , be directed specifically towards: 
(a) improved conservation and management of straddling fish stocks  and highly migratory fish stocks through collection, reporti ng, verification, exchange and analysis of fisheries 
data and related information; 
(b) stock assessment and scientific research; and 
(c) monitoring, control, surveillance, compliance and enforcemen t, including training and capacity-building at the local level,  development and funding of national and regional 
observer programmes and access to technology and equipment." 
Article 26 – Special assistance in th e implementation of this Agreement 
"1. States shall cooperate to establish speci al funds to assist developing States in the implementation of this Agreement, incl uding assisting developing States to meet the costs  
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2. States and international organizations should assist developi ng States in establishing new subregional or regional fisheries  management organizations or arrangements, or in 
strengthening existing organizations or arrangements, for the conservation and management of straddling fish stocks and highly migratory fish stocks".  
Æ An Assistance Fund under Part VII was established by Resolution 58/14 at the 58th Session of the UNGA in 2003 to assist develo ping States Parties in the implementation of 
the Agreement. The FAO administer s the Fund in collaborati on with the Division for Ocean Affa irs and the Law of the Sea, Office  of Legal Affairs of the United Nations, and 
invites States, intergovernmental organizations, international financial institutions, national institutions, NGOs as well as n atural and juridical persons, to make voluntary financial 
contributions to the Fund.   Paragraph 14 of the Terms of Reference of the Fund provides that financial assistance from the Fun d can be sought for the following purposes: 
a) Facilitating the participation of represen tatives from developing States Parties in the meetings and activities of relevant regional and sub-regional fisheries management 
organizations and arrangements.  b) Assisting with travel costs, and if appropriate daily subsistence allowances, asso ciated with the participation of developi ng States Parties in relevant meetings concerning high 
seas fisheries of relevant global organizations and other appropriate international and regional organisations and bodies.  
 c) Supporting ongoing and future negotiations to establish new regional or subregional fisheries management organizations and arrangements in areas where such bodies are not 
currently in place.  
 d) Building capacity for activities in key areas such as effective exercise of flag  State responsibilities, monitoring, contro l and surveillance, data collec tion and scientific research 
relevant to straddling and highly migratory fish stocks on a national and/or regional level.   e) Facilitating exchange of information and experience on the implementation of the Agreement.  
 f) Assisting developing States Parties to the Agreement with human resources development, tec hnical training, and technical as sistance in relation to conservation and management 
of straddling and highly migratory fish stocks and development of fisheries for such stocks.  
 g) Assisting in meeting the costs involved in proceedings for the settlement of disputes between States Parties to the Agreeme nt concerning the interpretation or application of the 
Agreement in accordance with Part VIII of the Agreement or procee dings concerning the interpreta tion or application of a subreg ional, regional or global  fishery agreement relating 
to straddling fish stocks or highly migratory fish stocks to which they are parties. 
(m) Rotterdam Convention 
Article 11 – Obligations in relation to  exports of chemicals listed in Annex III 
 " 1. Each exporting Party shall...          
(c) Advise and assist importing Parties,  upon request and as  appropriate: 
   (i) To obtain further inform ation to help them to take action in accordance with paragraph 4 of Article 10 and paragraph 2 ( c) below;  and 
   (ii) To strengthen their capacities and capabilities to  manage chemicals safely during their life-cycle...." 
Article 16 – Technical assistance 
"The Parties shall, taking into account in particular the needs of developing countries and count ries with economies in transit ion, cooperate in promoting technical assistance for the 
development of the infrastructure and the ca pacity necessary to manage chemicals to en able implementation of this Convention.  Parties with more advanced programmes for 
regulating chemicals should provide technical assistance, including training, to other Parties in developing their infrastructu re and capacity to manage chemicals throughout their 
life-cycle". 
Æ Since 1998, the Secretariat has conducted a series of subregional workshops.  Initially  these workshops focused on awareness ra ising;  however, since 2004, the focus has been 
on providing training in the practical implementation of the Rotterdam Convention.  In addition, the Secretariat has organized trainer workshops designed to familiarize selected 
regional experts with the detailed workings of the Rotterdam Convention.  These trained regional experts in turn participate in  the Convention workshops as facilitators and 
presenters, and also work with designated national authorities in  individual countries within their region to address specific problems in the implementation of the Convention.  The 
Secretariat has also developed a guide on the development of national laws to implement the Convention, plans for the implement ation of chemicals-related MEAs, and a resource 
kit to provide comprehensive information on the Convention to stakeholders.   
Æ In the final decision at COP 3 in October 2006 (UNEP/FAO/RC/CO P.3/CRP.10), COP requested parties to contribute to the voluntar y trust fund in support of technical 
assistance and adopted the 2007-2008 programme of work for the regional and national delivery of technical asssitance activitie s.  
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Page 106 (n) Stockholm Convention 
Article 12 – Technical assistance 
"1. The Parties recognize that rendering of timely and appropriate techni cal assistance in response to requests from developing  country Parties and Parties with economies in 
transition is essential to  the successful implementa tion of this Convention. 
2. The Parties shall cooperate to provide timely and appropriate technical assistance to developing country Parties and Parties  with economies in transition, to assist them, taking 
into account their particular needs, to develop and strengthen th eir capacity to implement their obligations under this Convent ion. 
3. In this regard, technical assistance to be provided by developed country Parties, and other Parties in accordance with their  capabilities, shall include, as appropriate and as 
mutually agreed, technical assistance for ca pacity-building relating to implementation of the obligations under this Convention .  Further guidance in this regard shall be provided by 
the [COP]. 
4. The Parties shall establish, as approp riate, arrangements for the purpose of pr oviding technical assistance and promoting th e transfer of technology to developing country Parties 
and Parties with economies in transition relating to the implemen tation of this Convention.  These arrangements shall include r egional and subregional centres for capacity-building 
and transfer of technology to assist developing country Partie s and Parties with economies in transition to fulfil their obliga tions under this Convention.  Further guidance in this 
regard shall be provided by the [COP]. 5. The Parties shall, in the context of this Article, take full account of the specific needs and sp ecial situation of least de veloped countries and small island developing states in their 
actions with regard to technical assistance". 
Article 13 – Financial resources and mechanisms 
Æ Parties undertake to provide financial support and incentives to achieve the objective of the Convention.  Developed country P arties shall provide new and additional financial 
resources to enable developing country Par ties and Parties with economies in transiti on to meet the agreed full incremental cos ts of implementing measures which fulfil their 
obligations under the Convention.   
Æ Establishes a mechanism for the provision of adequate and sust ainable financial resources to developing country Parties and Pa rties with economies in transition on a grant or 
concessional basis to assist in their implementation of the Convention.   
Æ Calls upon the first meeting of the COP to develop appropriate gui dance to be provided to the m echanism.  At its second meetin g, and on a regular basis, the COP shall review 
the effectiveness of the mechanism. 
Article 14 – Interim financial arrangements 
Æ Entrusts the GEF, on an interim basis, to be the principal entity operating the financial mechanism referred to in Article 13.  
 
IV. NON-COMPLIANCE MECHANISM 
(a) IPPC 
Article VII:2(f) – Requiremen ts in relation to imports 
"2. In order to minimize interference with international trade, each contracting party, in exercising its authority under parag raph 1 of this Article, undertakes to act in conformity 
with the following: … 
f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where appropr iate, the re-exporting contracting party concerned, 
of significant instances of non-compliance with phytosanitary certification.  The exporting contracting party or, where appropr iate, the re-exporting contracting party concerned, 
should investigate and, on request, report the result of its  investigation to the importing contracting party concerned". 
Æ Guidance for non-compliance is elaborated in  the International Standard for Phytosanitary Measures No. 13 (2001), Guidelines f or the Notification of Non-Compliance and 
Emergency Actions.  
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Article IX 
"1. The Contracting Parties agree to take all action necessary to ensure the enforcement of this Convention.  Each Contracting Party shall transmit to the Commission, biennially or 
at such other times as may be required by the Commission, a statement of the action taken by it for these purposes. 2. The Contracting Parties agree: 
(a) to furnish, on the request of the Commission, any available statistical, biological and other scientific information the Co mmission may need for th e purposes of this 
Convention; (b) when their official agencies are unabl e to obtain and furnish the said information, to allow the Commission, through the Co ntracting Parties, to obtain it on a voluntary basis 
direct from companies and individual fishermen. 
3. The Contracting Parties undertake to collaborate with each ot her with a view to the adoption of suitable effective measures to ensure the application of the provisions of this 
Convention and in particular to set up a system of internationa l enforcement to be applied to the Convention area except the te rritorial sea and other waters , if any, in which a state 
is entitled under international law to exercise jurisdiction over fisheries". 
Æ The mandate and terms of reference for a Conservation and Management Measures Compliance Committee were adopted in Decision 95 -15. 
Æ Some non-compliance procedures have been enforced, such as reducing catch quotas by the amount of excess catch over the quota and or by 125 per cent of the excess.  Also, 
trade measures can be, and have been, applied to Contrac ting Parties (see Section II on  Trade-Related Measures). 
(c) CITES 
(1) Provisions of the Convention  
Article XIII – International Measures  
"1. When the Secretariat in the light of information received is satisfied that an y species included in Appendix I or II is bei ng affected adversely by trade in specimens of that 
species or that the provisions of the pres ent Convention are not being effectively implemented, it shall communicate such infor mation to the authorized Management Authority of 
the Party or Parties concerned.  
2. When any Party receives a communication as indicated in paragra ph 1 of this Article, it shall, as  soon as possible, inform t he Secretariat of any relevant facts insofar as its laws 
permit and, where appropriate, propose remedi al action.  Where the Party considers that an inquiry is  desirable, such inquiry m ay be carried out by one or more persons expressly 
authorized by the Party. 3. The information provided by the Party or  resulting from any inquiry as  specified in paragraph 2 of this Article shall be rev iewed by the next CoP which may make whatever 
recommendations it deems appropriate".  
ÆThe CoP regularly reviews the implementation of the Convention, and makes "whatever recommendations it deems appropriate" in re lation to allegations of unsustainable trade 
or ineffective implementation of the Convention (Article XIII).  Evaluation of compliance within the Convention is based on the  Secretariat’s reports to the COP and CITES 
subsidiary bodies (e.g. annual reports, the Review of Significant Trade, national legislation and alleged infractions and other  implementation problems). 
Æ The Standing Committee carries out such interim activities on beha lf of the CoP as may be necessa ry and provides guidance and advice on matters brought to it by the 
Secretariat in the exercise of its function.  The  CoP often in structs or delegates its authority to the Standing Committee, e. g. pursuant to Resolution Conf. 8.4, to consider 
"appropriate measures", which may include restrictions on the trade in specimens of CITES-listed species.  In various instances , e.g. pursuant to Resolution Conf. 12.8 (Rev. 
CoP13), the Secretariat recommends to the St anding Committee that all Par ties immediately take strict measures, including, as a ppropriate, suspension of trade in the affected 
species with a particular Party. (See also the revised draft compliance guidelines contained in document SC54 Com. 4).  
Æ As CITES uses trade measures for its implementation, one reco mmendation for improving the effectiveness of the Convention is a  temporary suspension of trade recommended 
by either the CoP or the Standing Committee.  In practical term s, this provides a period of time during which the relevant Part y can move from non-compliance to compliance by, 
inter alia , enacting adequate legislation, combating and reducing illegal trade or responding to specific recommendations of the Standing C ommittee concerning the implementation 
of Article IV of the Convention in the context of the Review of Significant Trade.  Having identified a problem of serious non- compliance, it would be inappropriate for Parties not 
to respond.  Recommendations for a suspension of trade may be regarded as a precautionary measure to prevent a continuing viola tion of the Convention that may also be   
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Æ Recommendations to suspend trade are generally used as a last resort and CITES puts significant emphasis on inducing Parties i nto compliance through consultations and advice 
or assistance.  Furthermore, such measures are generally used in  cases involving significant leve ls of trade and where no domes tic measures exist to en force the Convention.  
Finally, such recommendations are withdrawn immedi ately upon a Party’s re turn to compliance. 
(2) Resolutions and Decisions of  the Conference of the Parties  
Resolution Conf. 11.3 (Rev. CoP13)– Compliance and enforcement 
"... Regarding compliance, control and cooperation 
Urges  all Parties to strengthen, as soon as possible, the controls on trade in wildlife in the territories under their jurisdiction,  and in particular controls on shipments from producing 
countries, including neighbouring countries, and to strictly verify the documents originating from such countries with the resp ective Management Authorities; 
Recommends  that: 
a) all Parties: 
i) recognize the seriousness of illegal trad e in wild fauna and flora and identify it as a matter of high priority for their na tional law enforcement agencies; 
ii) consider formulating national action plans, incorporating timetables, targets and provisions for funding, designed to enhan ce enforcement of CITES, achieve compliance 
with its provisions, and support wild life-law enforcement agencies; ... 
iv) ensure strict compliance and control in respect of all mechanisms and provisions of the Convention relating to the regulati on of trade in animal and plant species listed in 
Appendix II, and of all provisions ensuring protection against illegal traffic for the species included in the Appendices; 
v) in case of violation of the above-mentioned provisions, immedi ately take appropriate measures pursuant to Article VIII, para graph 1, of the Convention in order to penalize 
such violation and to take appropriate remedial action;  and 
vi) inform each other of all circumstances and facts likely to be  relevant as regards illegal traffic and also of control measu res, with the aim of er adicating such traffic; 
b) importing Parties in particular not accept  under any circumstances or pretext, expor t or re-export documents issued by any a uthority, irrespective of its hierarchical level, other 
than the Management Authority officially designated as competent by the exporting or re-exporting Party and duly notified to th e Secretariat;  and 
c) if an importing country has reason to believe that an Appendi x-II or -III species are traded in contravention of the laws of  any country involved in the transaction, it: 
i) immediately inform the country whose laws were thought to have  been violated and, to the exte nt possible, provide that count ry with copies of all documentation relating to 
the transaction;  and 
ii) where possible, apply stricter domestic measures to that transaction as provided for in Article XIV of the Convention; … 
 
Regarding application of Article XIII, r ecommends  that: 
a) when, in application of Article XIII, the Secretariat requests  information on an alleged infr action, Parties reply within a time-limit of one month or, if this is impossible, 
acknowledge within the month and indicate a date, even an approximate one, by which they consider it will be possible to provid e the information requested; 
b) when, within a one year time-limit, the information requeste d has not been provided, Parties provide the Secretariat with ju stification of the reasons for which they have not 
been able to respond; c) if major problems with implementation of the Convention in pa rticular Parties are brought to the attention of the Secretaria t, the Secretariat work together with the Party 
concerned to try to solve the problem and offe r advice or technical assistance as required;  
d) if it does not appear a solution can be readily achieved, the Secretariat bring the matter to the attention of the Standing Committee, which may pursue the matter in direct 
contact with the Party concerned with a view to helping to find a solution;  and 
e) the Secretariat keep the Par ties informed as fully as possible, through Notifications, of such implementation problems and o f actions taken to solve them, and include such 
problems in its report of alleged infractions…". 
Resolution Conf. 11.17 (Rev. CoP13) – National  reports 
"... Recommends that Parties not authorize trade in specimens of CITES-listed species with any Pa rty that the Standing Committe e has determined has failed, for three consecutive 
years and without having provided adequate  justification, to provide the annual reports required under Article VIII, paragraph 7 (a), of the Convention within the deadline (or any 
extended deadline) provided in the present Resolution; ...". 
Resolution Conf. 12.8 (Rev. CoP13)– Review of si gnificant trade in specimens of Appendix-II species  
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q) the Secretariat shall, in consultation with the Chairman of  the Animals or Plants Committee, determine whether the recommend ations referred to above have been 
implemented and report to the Standing Committee accordingly; 
r) where the recommendations have been met, the Secretariat shall, following consultation with the Chairman of the Standing Com mittee, notify the Partie s that the species was 
removed from the process; 
s) when the Secretariat, having consulted with the Chairman of the Animals or Plants Committee, is not satisfied that a range S tate has implemented the recommendations made 
by the Animals or Plants Committ ee in accordance with paragraphs n) or o), it should recommend to the Standing Committee approp riate action, which may include, as a last 
resort, a suspension of trade in the affected  species with that State.  On the basis of the report of the Secretariat, the Stan ding Committee shall decide on appropriate action and 
make recommendations to the State concerned, or to all Parties; t) the Secretariat shall notify the Pa rties of any recommendations or actions taken by the Standing Committee; 
u) a recommendation to suspend trade in the affected species with the State concerned should be withdrawn only when that State demonstrates to the satisfaction of the Standing 
Committee, through the Secretariat,  compliance with Article IV, paragraph 2 (a), 3 or 6 (a);  and 
v) the Standing Committee, in consultation w ith the Secretariat and the Chairman of th e Animals or Plants Committee, shall revi ew recommendations to suspend trade that have 
been in place for longer than two year s and, if appropriate, take measures to address the situation; ...". 
Æ For a list of outstanding Standing Committee recommendations made in accordance with this  Resolution to suspend imports of CIT ES-listed species from  certain countries, 
see Notification No. 2006/034.   
Decision Conf. 13.79-13.83 – National laws for implemen tation of the Convention  
"...Directed to the Standing Committee,  
With respect to Parties and dependent territories that do not comply with Decisions 13.79, 13.80 or 13.81, or decisions of the Standing Committee in relation to national laws for 
implementation of the Convention, the Standing Committee shall consider appropriate measures, which may include recommendations  to suspend commercial trade in specimens of 
CITES-listed species to and from such Parties...". 
(d) CCAMLR 
(1) Promotion of Compliance  
Article XXI 
"1. Each Contracting Party shall take approp riate measures within its competence to en sure compliance with the provisions of th is Convention and with conservation measures 
adopted by the Commission to which the Party is bound in accordance with Article IX of this Convention. 
2. Each Contracting Party shall transmit to the Commission information on measures taken pursuant to paragraph 1 above, includi ng the imposition of sanctions for any violation". 
Conservation Measure 10-03 (2005) – Port Inspections of Vessels Carrying Toothfish 
"... 1. Contracting Parties shall undertake inspection of all fishing vessels carrying Dissostichus spp. which enter their ports.  The inspection shall be for the purpose of determining 
that if the vessel carried out harvesting activities in the Co nvention Area, these activities were carried out in accordance wi th CCAMLR conservation measures, and that if it intends 
to land or tranship Dissostichus spp. the catch to be unloaded or transhipped is accompanied by a Dissostichus catch document (DCD) required by Conservation Mea sure 10-05, 
and that the catch agrees with the info rmation recorded on the document.  … 
3. In the event that there is evidence that the vessel has fished in contraven tion of CCAMLR conservation measures, the catch s hall not be landed or transhipped.  The Contracting 
Party will inform the Flag State of the vessel of its inspecti on findings and will cooperate with the Flag State in taking such  appropriate action as is required to investigate the 
alleged infringement, and, if necessary, apply appropriate sanctions in accordance with national legislation…". 
Conservation Measure 10-06 (2006) – Scheme to  Promote Compliance by Contracting Party Vessels with CCAMLR Co nservation Measures  
"… 1. At each annual meeting, the Commission will identify thos e Contracting Parties whose vessels have engaged in fishing acti vities in the Convention Area in a manner which 
has diminished the effectiveness of CCAMLR conservation measures  in force, and shall establish a list of such vessels (Contract ing Party Illegal Unregulated, and Unreported 
Vessel List or "CPP-IUU Vessel List") , in accordance with th e procedures and criteri a set out hereafter. … 
4. For the purposes of this conservation measure, the Contracting Parties are considered as having carried out fishing activiti es that have diminished the effectiveness of the 
conservation measures adopted by the Commission if:  
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Page 110 (i) the Parties do not ensure compliance by their vessels with th e conservation measures adopted by the Commission and in force , in respect of the fisheries in which they 
participate that are placed unde r the competence of CCAMLR; 
(ii) their vessels are repeatedly included in the CP-IUU Vessel List. 
5. In order for a Contracting Party’s vesse l to be included in the CP-IUU Vessel List there must be evidence, gathered in accor dance with paragraphs 2 and 3, that the vessel has: 
(i) engaged in fishing activities in the CCAMLR Convention Area without a licence issu ed in accordance with Conservation Measur e 10-02, or in violation of the conditions 
under which such licence would have been issued in rela tion to authorised areas, speci es and time periods; or 
(ii) not recorded or not decl ared its catches made in the CCAMLR Convention Area in  accordance with the re porting system applic able to the fisheries it engaged in, or made 
false declarations; or 
(iii) fished during closed fishing periods or in closed areas in contravention of CCA MLR conservation measures; or 
(iv) used prohibited gear in contravention of applicable CCAMLR conservation measures; or 
(v) transhipped or participated in joint fishing operations w ith, supported or re-supplied other vessels identified by CCAMLR a s carrying out IUU fishing activities (i.e. vessels 
on the CP-IUU Vessel List or the NCP-IUU Ve ssel List (Non-Contracting Party Illegal Unre gulated, and Unreported Vessel List), e stablished under Conservation Measure 10-
07); or 
(vi) failed to provide, when required under Conservation Measure 10-05, a valid catch document for Dissostichus spp.; or 
(vii) engaged in fishing activities in a manner that undermines the attainment of the objectives of the Convention in waters ad jacent to islands within  the area to which the 
Convention applies over which the existence of State sovereignty is recognised by all Contracting Parties, in the terms of the statement made by the Chairman on 19 May 1980; 
or 
(viii) engaged in fishing activities contrary to any other CCAMLR conservation measures in a manner that undermines the attainm ent of the objectives of the Convention 
according to Article XXII  of the Convention. 
7. Contracting Parties whose vessels are included in the Draft CP-IUU Vessel List shall transmit their comments to the Executiv e Secretary before 1 September, including verifiable  
VMS data and other supporting information showing that the vessels listed have not engaged in the activities which led to their  inclusion in the Draft CP-IUU Vessel List.… 
12. At each CCAMLR annual meeting, the Standing Committee on  Implementation and Compliance (SCIC) shall, by consensus: 
(a) adopt a Proposed CP-IUU Vessel List, following consideration of the Provisional CP-IUU Vessel List and information and evid ence circulated under paragraph 10.  The 
Proposed CP-IUU Vessel List shall be submitted to the Commission for approval; 
(b) recommend to the Commission which, if any, vessels should be removed from the CP-IUU Vessel List adopted at the previous CC AMLR annual meeting, following 
consideration of that List and information and evidence circulated under paragraph 10... 
14. SCIC shall recommend that the Commission should remove a ve ssel from the CP- IUU Vessel List if the Contracting Party prove s that: 
(i) the vessel did not take part in the activities described in pa ragraph 1 which led to the inclusion of the vessel in the CP- IUU Vessel List; or  
(ii) it has taken effective action in response to the activitie s in question, including prosecution and imposition of sanctions  of adequate severity;  or 
(iii) the vessel has changed ownership, including beneficial ownershi p if known to be distinct from the registered ownership, a nd that the new owner can establish the previous 
owner no longer has any legal, financial, or real interests in the vessel, or exercises control over it and that the new owner has not participated in IUU fishing;  or 
(iv) it has taken measures considered sufficient to ensure the granting of the right to the vessel to fly its flag will not res ult in IUU fishing. … 
22. Without prejudice to their rights to take proper action consis tent with international law, Co ntracting Parties should not t ake any trade measures or other sanctions which are 
inconsistent with their international obligations against vessels  using as the basis for the action the fact that the vessel or  vessels have been included in the draft lCP-IUU Vessel 
List drawn up by the Executive Secretariat, pursuant to paragraph 6. 23. The Chair of the Commission shall request the Contracting Par ties identified pursuant to paragraph 1 to take all necessary measures to avoid diminishing the effectiveness of the 
CCAMLR conservation measures resulting from their vessels’ activitie s, and to advise the Commission of actions taken in that re gard. 
24. The Commission shall review, at subsequent CCAMLR annual mee tings, as appropriate, action taken by those Contracting Partie s to which requests have been made pursuant 
to paragraph 23, and identify those which ha ve not rectified their fishing activities.  
25. The Commission shall decide appropriate measures to be taken in respect to Dissostichus  spp. so as to address these issues with th ose identified Contractin g Parties.  In this 
respect, Contracting Parties may cooperate to  adopt appropriate multilaterally agreed tr ade-related measures, consistent with t heir obligations as members of the  [WTO], that may 
be necessary to prevent, deter and eliminate the IUU fishing activities identified by the Commission.  Multilateral trade-relat ed measures may be used to  support cooperative efforts 
to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fishing or otherwise diminish the effectiveness of CCAMLR’s conservati on measures  
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Resolution 19/XXI – Flags of Non-Compliance 
"The Commission...urges all Contracting Parties and non-Contracting Parties cooperating with CCAMLR to: 
1. Without prejudice to the primacy of the responsibility of the Fl ag State, to take measures or otherwise cooperate to ensure,  to the greatest extent possible, that the nationals 
subject to their jurisdiction do not support or engage in IUU fishing, including engagement on board FONC (Flags of Non-Complia nce) vessels in the CCAMLR Convention Area 
if this is consistent with their national law. 2. Ensure the full cooperation of their relevant national agencies  and industries in implementing the measures adopted by CCAML R. 
3. Develop ways to ensure that the export or transfer of fi shing vessels from their State to a FONC State is prohibited. 
4. Prohibit the landings and transhipments of fish and fish products from FONC vessels." 
(2) System of Inspection  
Article XXIV 
"1. In order to promote the objective and ensure observance of the provisions of this Convention, the Contracting Parties agree  that a system of observation and inspection shall be 
established. 
2. The system of observation and inspection shall be elaborated by the Commission on the basis of the following principles: 
(a) Contracting Parties shall co- operate with each other to ensure the effectiv e implementation of the system of observation an d inspection, taking account of the existing 
international practice.  This system shall include, inter alia , procedures for boarding and inspection by observers and inspectors designated by the Members of the Commission 
and procedures for flag state prosecution and sanctions on the basis of evidence resulting from such boarding and inspections.  A report of such prosecutions and sanctions 
imposed shall be included in the information re ferred to in Article XXI of this Convention; 
(b) in order to verify compliance with measures adopted under this Convention, observation and inspection shall be carried out on board vessels engaged in scientific research or 
harvesting of marine living resources in the area to which this  Convention applies, through observers and inspectors designated  by the Members of the Commission and operating 
under terms and conditions to be established by the Commission; 
(c) designated observers and inspectors shall remain subject to the jurisdiction of the Contracting Party of which they are nat ionals.  They shall report to the Member of the 
Commission by which they have been designated which in turn shall report to the Commission".... 
Æ The CCAMLR System of Inspection has been in operation since 1989.  Inspections of fishing and fisheries research vessels of CC AMLR Flag States are being carried out 
regularly by CCAMLR Inspectors designated by Members. 
Æ In December 2000, the Commission established the Standing Commi ttee on Observation and Inspection (SCOI) to consider and prepa re advice to the Commission on all matters 
related to inspections undertaken and steps taken by Members to  enforce compliance with Conserva tion Measures.  In 2002, the Su bcommittee was renamed the 
Standing Committee on Implementation and Compliance (SCIC). 
Æ In 2004, the Commission agreed on a set of principles required to develop and implement a comparative methodology for assessin g compliance with CCAMLR conservation 
measures. The work on the compliance evaluation pr ocedure has been continued in 2005 and 2006.  
(e) Montreal Protocol 
Article 4A  –  Control of Trade with Parties  
"1. Where, after the phase-out date applicable to it for a cont rolled substance, a Party is unable, despite having taken all pr acticable steps to comply with its obligation under the 
Protocol, to cease production of that substan ce for domestic consumption, other than for uses agreed by the Parties to be essen tial, it shall ban the export of used, recycled and 
reclaimed quantities of that substance, other than for the purpose of destruction." 
Article 8  –  Non-compliance 
"The Parties, at their first meeting, sh all consider and approve procedures and in stitutional mechanisms for determining non-co mpliance with the provisions of this Protocol and for 
treatment of Parties found to be in non-compliance". 
Æ In 1992 MOP IV adopted non-compliance procedure and established an Implementation Committee.  The functions of the Committee a re to receive, consid er and report on any  
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the Protocol.  After receiving a report by the Committee, the MOP may, taking into co nsideration the circumstances of the case,  decide upon and call for steps to bring about full 
compliance with the Protocol, including measures to assist a Pa rty's compliance and to further the Protocol's objectives.   
Æ The Multilateral Fund, discussed above, supports developing countries to implement the Protocol's control measures. 
(f) Basel Convention 
Æ At COP-6, Parties adopted a decision on the compliance mechanism which sets out a Mechanism for Promoting Implementation and C ompliance.  The Mechanism is a non-
confrontational, flexible and non-binding tool that aims at pr eventing problems.  It will be administered by a Committee compos ed of 15 members reflecting an equitable 
geographic representation of the five UN regional groups.  Submissions to the Committee may be made by:  a Party regarding itse lf;  one Party regarding another Party;  or the 
Secretariat.  Submissions regarding complia nce are forwarded to the Party in question, who may respond or provide comments.  Th e Committee may provide ad vice to the Party to 
facilitate compliance, such as:  advice on regulatory regimes;  assistance, including financial and technical support;  elabora tion of voluntary compliance action plans;  and/or 
follow-up arrangements.  The Committee may also review general issues of compliance and implementation of the Convention, and m ay recommend that the COP take additional 
measures regarding specific cases. 
Æ During the first and second sessions of the Committee, it consider ed procedural matters that were raised in the terms of refere nce but were not clarified, namely time periods for 
submitting cases to the committee;  submissions made to the comm ittee by the Secretariat;  language of submissions;  and report  of the committee.  
Æ At COP-7, Parties approved the Committee’s first work programme, for 2005-2006, which instructed  to the Committee to, in the ex ercise of its general review power, identify 
and analyse difficultes relating to reporting obligations under the Convention, the designation of focal points and competent a uthorities, and the development of national legislation 
to effectively implement the Convention. During the biennium 200 5-2006, the Committee also provide d guidance to the Secretariat  in the preparation of a national legislation 
checklist, aimed at assisting Parties to ensure that th ey have appropriate implemen ting legislation in place. 
Æ  The results of the implementation of the work programme for 2005-2006 were reported to COP-8. COP-8 approved the work program me for the Complia nce Committee for 
2007-2008 which, under the general review po wer, will involve (a) further work on the national reporting, with a view to provid ing guidance on how national reporting could be 
improved, given that it underpins the operation of the C onvention, and (v) work on the issue of illegal traffic. 
Æ No submissions of non-compliance to date.   
(g) CBD 
Article 26 – Reports 
"Each Contracting Party shall, at intervals to be determined by the COP, present to the COP, re ports on measures which it has t aken for the implementation of the provisions of this 
Convention and their effectiveness in meet ing the objectives of  this Convention". 
Æ Three rounds of national reports have been organized so far:  in 1998, 2001 and 2004. 
Æ The CBD does not have a compliance pro cedure.  Formal assessment of Parties or  non-parties compliance has not occurred. 
(h) Cartagena Protocol 
Article 27 – Liability and Redress 
The [COP] serving as the [MOP] to this Protocol shall, at its first meeting, adopt a process with respect to the appropriate el aboration of international rules and procedures in the 
field of liability and redress for damage resulting from transboundary movements of [LMOs], analysing and taking due account of  the ongoing processes in international law on 
these matters, and shall endeavour to comp lete this process within four years." 
ÆCOP-MOP 1 adtoped decsion BS-I/8 to establish an Open-ended Ad Hoc Working Group of Legal and Technical Experts on Liability an d Redress. Among others, the Working 
Group would analyze issues related to: definition and nature of da mage, valuation of damage to biodiversity and to human health , causation, channelling of liability, standard of 
liability, and standing/right to bring claims.  
Æ In Decision BS-III/12, COP-MOP3 agreed to convene a meeting of the Working Group before the 4th meeting of the COP-MOP, and urged developed country Parties, other  
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of the Working Group.  
Article 33 – Monitoring and Reporting 
"Each Party shall monitor the implementation of its obligations unde r this Protocol, and shall, at intervals to be determined b y the [COP] serving as the [MOP] to this Protocol, 
report to the [COP] serving as the [MOP] to this Protocol  on measures that it has taken to implement the Protocol". 
Æ COP-MOP 1 approved a format for the interim national report on implementation of the Protocol (Decision BS-I/9) and agreed on t he frequency and timing of such reports 
(reports to be submitted 12 months prior to the meeting of the COP serving as the MOP to the Protocol at which they will be con sidered, with a general frequency of every four 
years but in the initial four-year period an interim report is to  be submitted two years after th e entry into force of the Prot ocol). 
Æ In Decision BS-III/14, COP-MOP 3 adtoped the national reporting format, and requested Parties to submit their first regular na tional report, covering the period between entry 
into force of the Protocol for each Party and the reporting date, 12 m onths prior to its fourth meeting.   
Article 34 – Compliance 
"The [COP] serving as the [MOP] to this Pr otocol shall, at its first meeting, consider and approve cooperative procedures and i nstitutional mechanisms to promote compliance with 
the provisions of this Protocol and to address cases of non-comp liance.  These procedures and m echanisms shall include provisio ns to offer advice or assi stance, where appropriate.  
They shall be separate from, and without prejudice to, the dis pute settlement procedures and mechanisms established by Article 27 of the Convention". 
Æ COP-MOP 1 adopted procedures and mechanisms on compliance under the Protocol (Decision BS-I/7), including a Compliance Committe e to meet twice a year 
with 15 members nominated by Parties and elected by the COP serv ing as the MOP to the Protocol.  These members will serve in th eir individual capacity. 
Æ The Committee receives, through th e Secretariat, submissions relating to complian ce from: any Party with respect to itself; and  any Party, which is affected or likely to be 
affected, with respect to another Party.  The COP-MOP may, upon the recommendations of the Compliance Committee, decide upon on e or more of the following measures:  
(a) Provide financial and technical assistance;  
(b) issue a caution to the concerned Party;  
(c) request the Executive Secretary to publis h cases of non-complian ce in the BCH;  and  
(d) in cases of repeated non-compliance, take such measures  as may be decided by the COP-MOP at its fourth meeting. 
Æ The first meeting of the Compliance Committee was held in March 20 05, where its rules of procedures were developed.  The Rules  were adopted at COP-MOP 2 (Decision BS-
II/1). 
ÆThe second meeting of the Compliance Committee was held in February 2006. COP-MOP 3 considered the recommendations made by the Compliance Committee, and 
adopted decision BS-III/1, which among othe rs, called upon "Parties that still have no appropriate legal and administrative mea sures in place at the national level to take the 
necessary measures and specifically to gi ve appropriate attention to the development of national biosafety frameworks" and urge d those "Parties that have duly completed the 
development of their national biosafety frameworks to take measures necessary, including the allocation of appropriate resource s, to make these frameworks operational and 
effective."  The decision also invited "Parties and other Govern ments with well-developed and functional biosafety frameworks o r systems to cooperate and share their practical 
experiences with those Parties that have a demand in this regard."  
(i) UNFCCC 
Article 13 – Resolution of Questions Regarding Implementation 
"The [COP] shall, at its first session, consider the establishm ent of a multilateral consultative process, available to Parties  on their request, for the resolution of questions regarding 
the implementation of the Convention". 
Æ Pursuant to Article 13, COP 4 considered the establishment of a Multilateral Consultative Committee (MCC) for the resolution o f questions regarding the implementation of the 
UNFCCC (The Committee  has not yet been established).  The propos ed MCC is to provide advice to Parties and to prevent disputes .  The nature of the MCC is to be facilitative, 
non-judicial, transparent an d co-operative.  The outcome of th e MCC may include recommendations and any measures that the MCC d eems suitable for the effective 
implementation of the Convention.  
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Article 16  
"The [COP] serving as the [MOP] to this Protocol shall, as soon  as practicable, consider the application to this Protocol of, a nd modify as appropriate, the multilateral consultative 
process referred to in Article 13 of the Convention, in the light of any relevant decisions that may be taken by the [COP].  An y multilateral consultative process that may be applied 
to this Protocol shall operate without pr ejudice to the procedures and mechanisms es tablished in accordance with Article 18".  
Article 18  
"The [COP] serving as the [MOP] to this Protocol shall, at its  first session, approve appropriat e and effective procedures and mechanisms to determine a nd to address cases of non-
compliance with the provisions of this Protocol, including through the development of an indicative list of consequences, takin g into account the cause, type, degree and frequency 
of non-compliance.  Any procedures and mechanisms under this Article entailing binding consequences shall be adopted by means o f an amendment to this Protocol". 
Æ A strong compliance system has been developed to facilitate, promote and enforce compliance with the commitments under the Kyo to Protocol:  The Compliance Committee 
consists of an enforcement br anch and a facilitative branch. 
The enforcement branch is responsible for determining whether an Annex I Party is not in compliance with its emissions targets,  the methodological and reporting requirements for 
greenhouse gas inventories, and the eligibility requirements under the flexibility mechanisms.  In case of disagreements betwee n a Party and an expert review team, the 
enforcement branch shall determin e whether to apply adjustments to greenhouse gas inventories or to correct the compilation and  accounting database for the accounting of 
assigned amounts (i.e., a Party’s allowable level of emissions over the Protocol’s first commitment period (2008-2012)). 
The mandate of the facilitative branch is to provide advice and facilitation to Parties in implementing the Protocol and to pro mote compliance by Parties with their commitments.  It 
is responsible for addressing questions of implementation relating to response measures taken by Annex I Parties aimed at mitig ating climate change in a way that minimizes their 
adverse impacts on developing countries and the use by Annex I Parties of the mechanisms as “supplemental” to domestic action.  Furthermore, the facilitative branch may provide 
“early warning” of potential non- compliance with emissions target s, methodological and reporting commitments relating to greenh ouse gas inventories, and commitments on 
reporting supplementary information in a Party’s annual inventory. 
 (See, Annual report of the Compliance Commi ttee  to the Conference of th e Parties serving as the meeting of the Parties to the  Kyoto Protocol, FCCC/KP/CMP/2006/6) . 
(k) ITTA 
Article 19 – Administrative Account 
"...7. If a member has not paid its full contribution to the administrative budget within four months after such contribution b ecomes due in accordance with paragraph 6 of this 
article, the Executive Director shall request that member to make  payment as quickly as possible.  If that member has still not  paid its contribution within two months after such 
request, that member shall be requested to state the reasons for its inability to make payment.  If at the expiry of seven mont hs from the due date of contribution, that member has 
still not paid its contribution, its voting rights shall be suspended until such time as it has paid in full its contribution, unless the Council, by special vote, decides otherwise.  If, on 
the contrary, a member has paid its full contribution to the admi nistrative budget within four months after such contribution b ecomes due in accordance with paragraph 6 of this 
article, the member's contribution shall receive a discount as may be established by the Council in the financial rules of the Organization".  
Article 44 – Exclusion  
"If the Council decides that any member is in breach of its obligations under this Ag reement and decides further that such brea ch significantly impairs the operation of this 
Agreement, it may, by special vote, exclud e that member from this Agreement.  The Council shall immediately so notify the depos itary.  Six months after the date of the Council's 
decision, that member shall cease to  be a party to this Agreement". 
(l) UN Fish Stocks Agreement 
Æ Article 18  o f  P a r t  V  o n  " D u t i e s  o f  t h e  F l a g  S t a t e "  requires the flag State to ensure that vess els flying its flag comply with subregional  and regional conservation and 
management measures.  It shall authorize vessels flying its flag to  fish on the high seas only wh ere it is able to exercise eff ective control over such vessels.  To this end, a flag State 
is obligated to take measures vis-à-vis fishing vessels flying its  flag that can ensure such control, including the establishme nt of a national record of fishing vessels authorized to 
fish on the high seas;  prohibition of high seas fishing without the necessary authorization;  requirement of permits for high seas fishing; prohibition of unauthorized fishing in areas  
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Identification of Fishing Vessels;  obligation of reporting rele vant fisheries data; implementation of observer programmes and national inspection schemes;  implementation of 
vessel monitoring systems;  regulation of transshipment;  and an obligation for the flag State to ensure compatibility of the n ational monitoring, control and surveillance system 
with existing subregional, regional or global systems. 
 Æ Part VI on "Compliance and En forcement" (Articles 19-23) contains several prov isions on compliance and enforcement, which invo lve compliance and enforcement by the flag 
State, the port State, as well as a subregional and regional cooperative enforcement scheme that may involve non-flag State enf orcement. 
Article 19 – Compliance and en forcement by the flag State 
"1. A State shall ensure compliance by vessels flying its flag with subregional and regional conservation and management measur es for straddling fish stocks and highly migratory 
fish stocks.  To this end, that State shall: 
(a) enforce such measures irrespec tive of where violations occur; 
(b) investigate immediately and fully any alleged violation of subregional or regional conservation and management measures, wh ich may include the physical inspection of the 
vessels concerned, and report promptly to the State alleging the violation and the relevant subregional or regional organizatio n or arrangement on the progress and outcome of the 
investigation; 
(c) require any vessel flying its flag to give information to the investigating authority regarding vessel position, catches, f ishing gear, fishing operations and related activities in 
the area of an alleged violation; (d) if satisfied that sufficient evidence is available in respect of an alleged violation, refer the case to its authorities wi th a view to instituting pr oceedings without delay in 
accordance with its laws and, where appropri ate, detain the vessel concerned;  and 
(e) ensure that, where it has been establis hed, in accordance with its laws, a vesse l has been involved in the commission of a serious violation of such measures, the vessel does 
not engage in fishing operations on the high seas until such time as all outstanding sanctions imposed by the flag State in res pect of the violation have been complied with. 
2. All investigations and judicial proceedi ngs shall be carried out expe ditiously.  Sanctions applicab le in respect of violatio ns shall be adequate in severity to be effective in securing 
compliance and to discourage violations wh erever they occur and shall deprive offende rs of the benefits accruing from their ill egal activities.  Measures applicable in respect of 
masters and other officers of fishing vessels shall include provisions which may permit, inter alia , refusal, withdrawal or suspension of auth orizations to serve as masters or officers 
on such vessels ...". 
Article 20 –  International cooperation in enforcement 
Æ Provides that States shall cooperate, either directly or through subregional or regional fisheries management organizations or  arrangements, to ensu re compliance with and 
enforcement of subregional and regional conservation and management measures for straddling fish stocks and highly migratory fi sh stocks.  
Article 21 –  Subregional and reg ional cooperation in enforcement 
Æ Provides a subregional and regional cooperative scheme in enforcement that may involve boarding and inspection by non-flag Sta te inspectors within the framework of a RFMO 
or arrangement.  
Article 22 – Basic procedures for boardi ng and inspection pursuant to article 21 
Æ Provides for the basic procedures to be followed by duly aut horized inspectors from an inspec ting State in case of boarding an d inspection.   
Article 23 – Measures taken by a port State 
Æ Provides for enforcement measures, which ma y be taken by a port State, whenever fishing vessels are voluntarily in its ports o r at its offshore terminals.  Such measures may 
include inspection of documents, fishing gear and catch on board  fishing vessels, and prohibition of landings and transhipments  if national regulations exist to this effect. 
(m) Rotterdam Convention 
Article 17 – Non-compliance 
"The COP shall, as soon as practicable, develop and approve procedures and institutional mechanisms for determining non-complia nce with the provisions of this Convention and  
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Æ The COP has been discussing the non-compliance mechanisms required under Article 17 since its first meeting at COP 1 in 2004.  At COP 3 in October 2006, the Parties 
established a working group to further discuss the mechanisms and procedures for non-compliance but no consensus was reached on  the text.3  The Parties agreed to use the draft 
text that resulted from the working group as the basis for further work at COP4.   
(n) Stockholm Convention 
Article 15 – Reporting 
Æ Sets out a reporting mechanism on the implementation of the Convention. 
Article 16 – Effectiveness evaluation 
Æ Requests the COP to evaluate the effectiveness of the Convention.  
Article 17 – Non-compliance 
"The [COP] shall, as soon as practicable, develop and approve procedures and institutional mechanisms for determining non-compl iance with the provisions of this Convention and 
for the treatment of Parties found to be in non-compliance". 
Æ At its first meeting in 2005, the COP decided to convene an open-ended ad hoc working group on non-compliance (OEWG NC) to con sider procedures and institutional 
mechanisms on non-compliance under  Article 17 of the Convention.  The working group recommended the establishment of a complian ce committee which is responsible for 
reviewing submissions made by one or more Parties and/or the Secr etariat.  At COP 2 in 2006, the Parties agreed to convene a se cond meeting of the OEWG NC prior to COP 3 to 
further consider the procedures and mechanisms on non-compliance. 
V. DISPUTES 
MEA Relevant Provision Any dispute? 
(a) IPPC 
 Article XIII  – Settlement of disputes 
"1. If there is any dispute regarding the interpretation or appli cation of this Convention, or if a contracting party considers  that any 
action by another contracting party is in conflict with the oblig ations of the latter under Articles V and VII of this Conventi on, 
especially regarding the basis of prohibiting or restricting the imports of plants, plant products or other regulated articles coming from 
its territories, the contracting parties conc erned shall consult among themselves as s oon as possible with a view to resolving the dispute. 
2. If the dispute cannot be resolved by the means referred to in paragraph 1, the contracting party or parties concerned may re quest the 
FAO Director-General to appoint a committee of experts to consider the question in dispute, in accordance with rules and proced ures 
that may be established by the Commission.  3. This Committee shall include representatives designated by each contracting party concerned.  The Committee shall consider t he 
question in dispute, taking into account all documents and othe r forms of evidence submitted by the contracting parties concern ed.  The 
Committee shall prepare a report on the tech nical aspects of the dispute for the purpos e of seeking its resolution.  The prepar ation of the 
report and its approval shall be according to rules and proce dures established by the Commission, and it shall be transmitted b y the 
Director-General to the contracting parties concerned.  The report may also be submi tted, upon its request, to the competent bo dy of the 
international organization responsible for resolving trade disputes.  
4. The contracting parties agree that the recommendations of su ch a committee, while not binding in character, will become the basis 
for renewed consideration by the contracting parties concer ned of the matter out of wh ich the disagreement arose.  No 
                                                      
3 The issues that are particularly contentio us include: membership, open versus closed  meetings, the decision-making process, tr iggers for the non-compliance procedure, and 
possible measures to address non-compliance.    
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5. The contracting parties concerned sha ll share the expenses of the experts.  
6. The provisions of this Article shall be complementary to an d not in derogation of the dispute settlement procedures provided  for in 
other international agreements dealing with trade matters". 
Æ The Interim Commission established the Subsidiary Body on Dispute Settlement (SBDS) in 2001.  The first meeting was held in 
April 2003.  The SBDS is composed of seven experts, one from each of the seven FAO geographic regions.  The role of the SBDS is  to 
assist the IPPC Secretariat in helping co ntracting parties select a suitable dispute settlement system. The SBDS developed a Di spute 
Settlement Manual in 2006 to facilitate the implementation of the Convention's dispute settlement  rules and procedures. 
(The Manual is available on the IPPC website at 
https://www.ippc.int/servlet/CDSServlet?stat us=ND0xMzQxMiY2PWVuJjMzPSomMzc9a29z).   
(b) ICCAT Æ No provisions No 
(c) CITES Article XVIII – Resolution of Disputes  
"1. Any dispute which may arise between two or more Parties with  respect to the interpretation or application of the provisions  of the 
present Convention shall be subject to negotiation between the Parties involved in the dispute. 
2. If the dispute can not be resolved in accordance with paragraph 1 of this Article, th e Parties may, by mutual consent, submi t the 
dispute to arbitration, in particular that of the Permanent Co urt of Arbitration at The Hague, and the Parties submitting the d ispute shall 
be bound by the arbitral decision". No 
(d) CCAMLR Article XXV 
"1. If any dispute arises between two or more of the Contracti ng Parties concerning the interpre tation or application of this C onvention, 
those Contracting Parties shall consult among themselves with a vi ew to having the dispute resolved by negotiation, inquiry, me diation, 
conciliation, arbitration, judicial settlement or  other peaceful means of their own choice. 
2. Any dispute of this character not so reso lved shall, with the consent in each case of all Parties to the dispute, be referre d for 
settlement to the ICJ or to arbitration;  but failure to reach agreement on reference to the Inte rnational Court or to arbitrat ion shall not 
absolve Parties to  the dispute from the responsibility of continuing to seek to resolve it by any of the vari ous peaceful means  referred to 
in paragraph 1 above. 
3. In cases where the dispute is referred to arbitration, the ar bitral tribunal shall be constituted as provided in the Annex t o this 
Convention". No 
(e) Montreal 
 Protocol Æ Article 11 of the Vienna Convention for the Protection of the Ozone Layer applies to the Montreal Protocol and its amendments with 
regard to dispute settlement.  
Vienna Convention:  Article 11 – Settlement of disputes 
"1. In the event of a dispute between Parties concerning the interpretation or application of this Convention, the parties conc erned shall 
seek solution by negotiation. 
2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good offices of, or request mediat ion by, a 
third party. 3. When ratifying, accepting, appr oving or acceding to this Conventio n, or at any time thereafter,  a State or regional economic  
integration organization may declare in writing to the Depositary that for a dispute not resolved  in accordance with paragraph 1 or 
paragraph 2 above, it accepts one or both of the follo wing means of dispute settlement as compulsory: 
(a) Arbitration in accordance  with procedures to be adopted by th e [COP] at its first ordinary meeting; 
(b) Submission of the dispute to the [ICJ].  No  
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Page 118 MEA Relevant Provision Any dispute? 
4. If the parties have not, in accordance wi th paragraph 3 above, accepted the same or  any procedure, the dispute shall be subm itted to 
conciliation in accordance with paragraph 5 be low unless the parties otherwise agree. 
5. A conciliation commission shall be created upon the request of one of the parties to the dispute.  The commission shall be c omposed 
of an equal number of members appointed by each party concerned and a chairman chosen jointly by  the members appointed by each 
party. The commission shall render a final and recommendatory award, which the parties shall consider in good faith. 
6. The provisions of this Article shall apply with respect to any protocol except as provided in the protocol concerned". 
(f) Basel 
 Convention Article 20 – Settlement of Disputes  
"1. In case of a dispute between Parties as to the interpretation or application of, or compliance with, this Convention or any  protocol 
thereto, they shall seek a settlement of  the dispute through negotia tion or any other peaceful means of their own choice. 
2. If the Parties concerned cannot settle their dispute through th e means mentioned in the preceding paragraph, the dispute, if  the 
Parties to the dispute agree, shall be submitted to the [ICJ] or  to arbitration under the conditions set out in Annex VI on Arb itration.  
However, failure to reach common agreement on submission of the dispute to the ICJ or to arbitration shall not absolve the Part ies from 
the responsibility of continuing to seek to reso lve it by the means referred to in paragraph 1. 
3. When ratifying, accepting, appr oving, formally confirming or acceding to this Co nvention, or at any ti me thereafter, a State  or 
political and/or economic integration organization may declare that  it recognizes as compulsory ipso facto and without special 
agreement, in relation to any Party accepting the same obligation:  No 
 (a) submission of the dispute to the [ICJ];  and/or 
(b) arbitration in accordance with the procedures set out in Annex VI. 
Such declaration shall be notified in writing to the S ecretariat which shall communicate it to the Parties". 
Æ In the event that arbitration is the chosen method (Annex VI), the tribunal is to draw up its own rules of procedure and rende r its 
decision in accordance with international law and with the provisi ons of the Convention.  It may take all appropriate measures to 
establish the facts of the dispute and shall render a decision w ithin a specified time limit.  Th e award of the arbitral tribun al shall be 
accompanied by a statement of reasons and be fina l and binding on the Parties to the dispute.  
(g) CBD Article 27 – Settlement of Disputes 
"1. In the event of a dispute between Cont racting Parties concerning the interpretation or application of this Convention, the parties 
concerned shall seek solution by negotiation.  
2. If the parties concerned cannot reach agreement by negotiation, they may jointly seek the good offices of, or request mediat ion by, a 
third party.  
3. When ratifying, accepting, appr oving or acceding to this Conventio n, or at any time thereafter,  a State or regional economic  
integration organization may declare in writing to the Depositary that for a dispute not resolved  in accordance with paragraph 1 or 
paragraph 2 above, it accepts one or both of the follo wing means of dispute settlement as compulsory:  
(a) Arbitration in accordance with the procedure laid down in Part 1 of Annex II;   
(b) Submission of the dispute to the [ICJ]. 
4. If the parties to the dispute have not,  in accordance with paragaph 3 above, accepte d the same or any procedure, the dispute  shall be 
submitted to conciliation in accordance with Part 2 of Annex II unless the parties otherwise agree.  
5. The provisions of this Article shall apply with respect to any protocol except as otherwise provided in the protocol concern ed". 
Æ The procedures for arbitration are set out in Part 1 of Annex II.  The award of the arbitral tribunal is binding on the partie s to the 
dispute.  In the event of a conflict betwee n two Parties, the arbitral provisions prov ide for the standard three-member panel, as 
described under the Montreal Protocol and the Basel Convention.  If more Parties are involved, Pa rties "in the same interest" a re to 
nominate a "common" arbitrator.  No  
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Æ If the dispute is not submitted to arbitr ation or the ICJ because either the Parties have not chosen a procedure, or each has chosen a 
different procedure, the dispute must be submitted to conciliation.  Conciliation does not lead to a binding decision, unless t he Parties 
agree otherwise, but the proposals for resolution of the dispute must be considered in good faith.  The procedures for the five -member 
conciliation commission are set out in Part 2 of Annex II. 
(h) Cartagena 
Protocol Æ According to Article 27(5) of the CBD and 32 of the Protocol , the dispute settlement provisions of the CBD in Article 27 apply  to 
the Protocol  No 
(i) UNFCCC Article 14 – Settlement of Disputes 
"1. In the event of a dispute be tween any two or more Parties concerning the inte rpretation or application of the Convention, t he Parties 
concerned shall seek a settlement of the dispute through ne gotiation or any other peaceful means of their own choice. 
2. When ratifying, accepting, approving or acceding to the Convention, or at any time thereafter, a Party which is not a region al 
economic integration organization may declare in a written instrume nt submitted to the Depositary that, in respect of any dispu te 
concerning the interpretation or application of the Convention, it recognizes as compulsory ipso facto and without special agre ement, in 
relation to any Party accepting the same obligation: 
(a) Submission of the dispute to the [ICJ], and/or 
(b) Arbitration in accordance  with procedures to be adopted by the [COP] as soon as practicable, in an annex on arbitration.  No 
 A Party which is a regional economic integration organization ma y make a declaration with like effect in relation to arbitrati on in 
accordance with the procedur es referred to in subparagraph (b) above. … 
5. Subject to the operation of paragraph 2 above, if after twelve months following notification by one Party to another that a dispute 
exists between them, the Parties concerned have not been able to settle their dispute through the means mentioned in paragraph 1 above, 
the dispute shall be submitted, at the request of an y of the parties to the dispute, to conciliation. 
6. A conciliation commission shall be created upon the request of one of the parties to the dispute.  The commission shall be c omposed 
of an equal number of members appointed by each party concerned and a chairman chosen jointly by  the members appointed by each 
party.  The commission shall render a recommendatory aw ard, which the parties shall consider in good faith. 
7. Additional procedures relating to conciliation shall be adopted by the COP, as soon as practicable, in an annex on conciliat ion. 
8. The provisions of this Article shall apply to any related legal instrument which the COP may adopt, unless the instrument pr ovides 
otherwise".  
(j) Kyoto 
Protocol Article 19 
"The provisions of Article 14 of the Conv ention on settlement of disputes shall apply mutatis mutandis  to this Protocol". No 
(k) ITTA Article 31 – Complaints and disputes  
"Any complaint that a member has failed to fulfil its obligations  under this Agreement and any dispute concerning the interpret ation or 
application of this Agreement shall be referred to the Council fo r decision.  Decisions of the Council on these matters shall b e final and 
binding". No 
(l) UN Fish 
Stocks 
Agreement Æ Part VIII on Peaceful Settlement of Disp utes (Articles 27-32) contains provisions for the peaceful settlement of disputes aris ing out 
of the implementation of the Agreement.  
Article 27 – Obligation to settle disputes by peaceful means 
"States have the obligation to settle their disputes by negotia tion, inquiry, mediation, conciliation, arbitration, judicial se ttlement, resort 
to regional agencies or arrangements, or  other peaceful means of their own choice". No  
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Page 120 MEA Relevant Provision Any dispute? 
Article 28 – Prevention of disputes 
"States shall cooperate in order to prevent disputes.  To this end, States shall agree on efficient and expeditious decision-ma king 
procedures within subregional and regional fisheries management organizations and arrangements and shall strengthen existing 
decision-making proced ures as necessary". 
Article 29 – Disputes of a technical nature 
"Where a dispute concerns a matter of a technical nature, the States concerned may refer the dispute to an ad hoc expert panel 
established by them.  The panel shall confer with the States concerned and shall endeavour to resolve the dispute expeditiously  without 
recourse to binding procedures for the settlement of disputes". 
Article 30 – Procedures for the settlement of disputes 
Æ Stipulates that the procedures for the settlement of disputes set out in Part XV of UNCLOS apply mutatis mutandis  to any dispute 
between State Parties to the Agreement concerning the interpretatio n or application of the Agreemen t, whether or not they are a lso 
Parties to UNCLOS.  The procedures also apply mutatis mutandis  to any dispute between State Partie s to the Agreement concerning the 
interpretation or application of a subregional, regional or globa l fisheries agreement relating to straddling fish stocks or hi ghly 
migratory fish stocks to which they are parties, including any dispute concerning the conservation and management of such stock s, 
whether or not they are also Parties to the Convention.  
 
Article 31 – Provisional measures 
"1. Pending the settlement of a dispute in accordance with this Pa rt, the parties to the dispute shall make every effort to ent er into 
provisional arrangements of a practical nature. 
2. Without prejudice to article 290 of the Convention, the court or tribunal to which the dispute has been submitted under this  Part may 
prescribe any provisional measures which it considers appropriat e under the circumstances to pres erve the respective rights of the 
parties to the dispute or to prevent damage to the stocks in qu estion, as well as in the circum stances referred to in article 7 , paragraph 5, 
and article 16, paragraph 2. 3. A State Party to this Agreement which is not a Party to th e Convention may declare that, notwithstanding article 290, paragr aph 5, of 
the Convention, the International Tribunal for the Law of the S ea shall not be entitled to prescribe, modify or revoke provisio nal 
measures without the agreement of such State". 
Æ The relevant provisions of UNCLOS 
• Part XV of UNCLOS requires that State Parties to the Convention settle any dispute between them concerning the 
interpretation or application of th e Convention by all peaceful means re ferred to in the UN Charter.  
• Where no settlement has been reached by r ecourse to procedures entailing non-binding decisions under Part XV, Section 1, the 
dispute shall be submitted at the request of any party, to the compulsory procedures entailing binding decisions provided for i n 
Section 2 of Part XV.   
• Article 287 lists the following courts or tribunals as m eans for the settlement of disputes under Section 2:  
- ITLOS (established in accordance with Annex VI of the Convention) includi ng the Seabed Disputes Chamber; 
- the ICJ; 
- an arbitral tribunal constituted in accordan ce with Annex VII of the Convention; 
- a special arbitral tribunal co nstituted in accordance with Annex VIII for one or more of the categories of disputes specified 
therein.   
• The jurisdiction of ITLOS comprises all disputes and all app lications submitted to it in accordance with UNCLOS and all  
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matters specifically provided for in any other agreement, which confers jurisdiction to the Tribunal.  
• Part XV, Section 3 on limitations and exceptions to the applicab ility of Section 2 stipulates in Article 297, paragraph 3 that 
disputes relating to the soverei gn rights of the coastal State relating to the liv ing resources in the EEZ, or the exercise of such 
rights in that zone, are excluded from the compulsory procedur es entailing binding decisions provided for in Part XV, Section 
2.   
Where no settlement has been reached by recourse to Part XV, S ection 1, such disputes shall be submitted to the compulsory 
conciliation procedure established under Annex V, Section 2 of UNCLOS.  Under such a procedure, only the submission to the 
proceedings is compulsory since the report of the commission of conciliation, including its conclusions or recommendations, 
remains non-binding upon the Parties to the dispute. 
(m) Rotterdam 
Convention Article 20 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation or 
other peaceful means of  their own choice. 
2. When ratifying, accepting, approving or acced ing to this Convention, or at any time thereafter, a Party that is not a region al economic 
integration organization may declare in a written instrument subm itted to the Depositary that, with respect to any dispute conc erning the 
interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as comp ulsory in 
relation to any Party accepting the same obligation: 
(a) Arbitration in accordance w ith procedures to be adopted by the [COP] in an annex as soon as practicable;  and 
(b) Submission of the dispute to the [ICJ]. 
3. A Party that is a regional economic integration organization ma y make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure referred to in paragraph 2 (a). 
4. A declaration made pursuant to paragraph 2 shall remain in  force until it expires in accordance with its terms or until thre e months 
after written notice of its revocation has been deposited with the Depositary. 
5. The expiry of a declaration, a notice of revocation or a new declaration shall no t in any way affect proceedings pending bef ore an 
arbitral tribunal or the [ICJ] unless the parties to the dispute otherwise agree. 
6. If the parties to a dispute have not accepted the same or any procedure pursuant to paragraph 2,  and if they have not been a ble to 
settle their dispute within twelve months following notification by one party to another that a dispute exists between them, th e dispute 
shall be submitted to a conciliation commission at the request of any party to the dispute.  The conciliation commission shall render a 
report with recommendations.  Additional proc edures relating to the conciliation commission shall be included in an annex to be  
adopted by the [COP] no later than th e second meeting of the Conference". 
Æ In Decision RC-1/11, COP 1 established rules for the settlement of disputes:  
• In cases of Arbitration under Article 20 paragraphs 1-5, an Arbitration Tribunal shall be es tablished, consisting of three 
members, which renders a decision within five months of being fully constituted.  The decision is binding between the parties 
to the dispute and Parties intervening under Article 10, insofar as it relates to matters in respect of which that Party interv ened.  
The award shall be without appeal unless the parties to the di spute have agreed in advance to an appellate procedure. 
• In cases of conciliation under Article 20 paragraph 6, a co nciliation commission shall be established composed of five 
members.  It shall take its decision by majority vote of its members and shall render a report for the resolution within 12 
months of being established. No 
(n) Stockholm 
Convention Article 18 – Settlement of disputes 
"1. Parties shall settle any dispute between them concerning the interpretation or application of this Convention through negot iation or 
other peaceful means of  their own choice. No  
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2. When ratifying, accepting, approving or a cceding to the Convention, or at any time thereafter, a Pa rty that is not a regiona l economic 
integration organization may declare in a written instrument submitted to the depositary that, with respect to any dispute conc erning the 
interpretation or application of the Convention, it recognizes one or both of the following means of dispute settlement as comp ulsory in 
relation to any Party accepting the same obligation: 
(a) Arbitration in accordance with procedures to be adopted by the [COP] in an annex as soon as practicable; 
(b) Submission of the dispute to the [ICJ]. 
3. A Party that is a regional economic integration organization ma y make a declaration with like effect in relation to arbitrat ion in 
accordance with the procedure referred to in paragraph 2 (a). 
4. A declaration made pursuant to paragraph 2 or paragraph 3 shall remain in force until it expires in accordance with its term s or until 
three months after written notice of its revoca tion has been deposited with the depositary. 
5. The expiry of a declaration, a notice of revocation or a new declaration shall no t in any way affect proceedings pending bef ore an 
arbitral tribunal or the [ICJ] unless the parties to the dispute otherwise agree. 
6. If the parties to a dispute have not accepted the same or any procedure pursuant to paragraph 2,  and if they have not been a ble to 
settle their dispute within twelve months following notification by one party to another that a dispute exists between them, th e dispute 
shall be submitted to a conciliation commission at the request of any party to the dispute.  The conciliation commission shall render a 
report with recommendations.  Additional proc edures relating to the conciliation commission shall be included in an annex to be  
adopted by the [COP] no later than at its second meeting". 
 
VI. PROVISIONS FOR NON-PARTIES 
(a) IPPC 
Article XVIII – Non -contracting parties 
"The contracting parties shall encourage a ny state or member organization of FAO, not  a party to this Co nvention, to accept thi s Convention, and sha ll encourage any non-
contracting party to apply phytosanitary measures consistent w ith the provisions of this Convention and any international stand ards adopted hereunder". 
(b) ICCAT 
Æ In 1997, the Commission adopted a Resolution urging non-contractin g parties, entities or fishing entities known to be fishing i n the Convention area for species under ICCAT 
competence to either become Contracting Parties to the Convention or to attain status as a "Cooperating Party, Entity, or Fishi ng Entity" (Resolution 97-17-- Becoming a 
Cooperating Party, Entity or Fishing Entity).   Such status requ ires the firm commitment to provide the same data that Contract ing Parties are required to submit and to respect the 
Commission’s management recommendations.   Such status is granted for one-year periods and is subject to annual review.  In 199 9, Chinese Taipei and Mexico were granted 
Cooperating Status.  In 2001, the Philippines was also granted Cooperating Status.  Cooperating Status was granted to Guyana in  2003 and to the Netherlands Antilles in 2004.  In 
2002, Mexico became a member of ICCAT.  In 2004, the Philippines became a member of ICCA T.  This 1997 re solution was substitute d by a Resolution 01-17 in 2002, and later 
by Recommendation 03-20 in 2003. 
Recommendation 03-20 on Criteria fo r Attaining the Status of  Cooperating Non-Contra cting Party, Entity or  Fishing Entity (Enter ed into Force on June 19, 2004) 
"… 1. Each year, the Executive Secretary of ICCAT shall contact all non-Contracting Parties, Entities, or Fishing Entities know n to be fishing in the Convention area for species 
under ICCAT competence to urge them to beco me a Contracting Party to ICCAT or to atta in the status of a Co operating non-Contrac ting Party, Entity or Fishing Entity. In doing 
so, the Executive Secretary shall provide a copy of all relevant Recommendations and Resolutions adopted by the Commission.  
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 Page 1232. Any non-Contracting Party, Entity, or Fish ing Entity that seeks to be  accorded the status of a Cooperating non-Contracting P arty, Entity or Fishing Entity shall apply to the 
Executive Secretary. Requests must  be received by the Executive Secretary no later than ninety (90) days in advance of an ICCAT  annual meeting, to be considered at that meeting. 
3. Non-Contracting Parties, Entities or Fishing Entities requesting the status of Cooperating non-Contracting Party, Entity or Fishing Entity shall provide the following information 
in order to have this status considered by the Commission:  
a) where available, data on its histori cal fisheries in the Convention area, includ ing nominal catches, number/type of vessels,  name of fishing vessels, fishing effort and fishing 
areas;   b) all the data that Contracting Parties have to submit to ICCAT based on the Recommendations adopted by ICCAT; 
c) details on current fishing presence in the Convention area, number of vessels and vessel characteristics and; 
d) information on any research programs it may have conducted in the Convention area and the information and the results of thi s research. 
4. An applicant for Cooperating non-Contracting Pa rty, Entity or Fishing Entity Status shall also: 
a) confirm its commitment to respect the Commission’s conservation and management measures and; 
b) inform ICCAT of the measures it takes to ensure compliance by its vessels with ICCAT conservation and management measures . 
5. The Commission's Permanent Working Group for the Improvement of ICCAT Statistics and Conservation Measures (hereinafter PWG)  shall be responsible for reviewing 
requests for Cooperating Status and for recommending to the Commission whether or not an applicant should receive Cooperating S tatus.  In this review, the PWG shall also 
consider information regarding the applican t available from other Regional Fisheries Management Organizations (RFMOs) as well a s data submission of the applicant to the 
Commission.  Caution shall be used so as not to introduce into the Convention area the excessive fishing capacity of other regi ons or IUU fishing activities in granting Cooperating 
Status to the applicant.  
6. Cooperating non-Contracting Parties, Entities or Fishing Entity  status shall be annually reviewed and renewed unless revoked  by the Commission due to non-compliance with 
ICCAT conservation and management measures....". 
(c) CITES 
Article X – Trade with States not Party to the Convention 
"Where export or re-export is to, or import is from, a State not a Party to the present Convention, comparable documentation is sued by the competent authorities in that State which 
substantially conforms with the requirements of the present Convention for permits  and certificates may be accepted in lieu the reof by any Party". 
Resolution Conf. 9.5 (Rev. CoP13) – Trade with States not party to the Convention 
"… Recommends  that: 
a) permits and certificates issued by States not party to th e Convention not be accepted by Parties unless they contain: 
i) the name, stamp and signature of a competent issuing authority; 
ii) sufficient identification of the species c oncerned for the purposes of the Convention; 
iii) certification of the origin of the specimen concerned including  the export permit number from the country of origin, or ju stification for omitting such certification; 
iv) in the case of export of specimens of a species included in Appendix I or II, certification to the effect that the competen t scientific institution has advised that the export 
will not be detrimental to the survival of the species (in case of  doubt a copy of such advice should be required) and that the  specimens were not obtained in contravention of 
the laws of the State of export; 
v) in the case of re-export, certification to  the effect that the compet ent authority of the country of origin has issued an ex port document that substantially meets the 
requirements of Article VI of the Convention;  and vi) in the case of export or re-export of live specimens, certifi cation to the effect that they will be transported in a manner  that will minimize the risk of injury, damage to 
health or cruel treatment; 
b) Parties accept documentation from States  not party to the Convention only if deta ils of the competent authorities and scient ific institutions of such States are included in the 
most recent updated list of th e Secretariat or after consu ltation with the Secretariat; 
c) the recommendations above also apply to specimens in transit destined for or coming from States not party to the Convention,  including specimens in transit between such 
States; 
d) particular attention be given to the inspection of specimens in transit exported or re-exported from, and/or destined for St ates not party to the Convention and to the inspection  
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Page 124 of documentation for such specimens; 
e) Parties authorize import from and export or re-export to States not party to the Convention of specimens of wild origin of A ppendix-I species only in special cases where it 
benefits the conservation of the species or  provides for the welfare of  the specimens, and only after consultation with the Sec retariat; 
f) Parties allow import from States not party to the Convention of  captive-bred and artificially propagated specimens of Append ix-I species only after favourable advice from the 
Secretariat;  and 
g) Parties communicate to the Secretariat any inconsistencies in trade involving States not party to the Convention; …". 
Æ The following non-parties have provided the information requested by Resolution Conf. 9.5 (i.e. proof that comparable documentation is being issued by competen t authorities):  
Angola; Bahrain;  Cook Islands;  Democratic People’s Republic of Korea;  Faroe Islands; Haiti;  Iraq; Kiribati;  Kyrgystan;  Le banon;  Marshall Islands;  Federated States of 
Micronesia;  Niue;  Oman;  Solomon Islands;  Tonga;  Turkmenistan; Turks and Caicos Islands; and Tuvalu.  
Æ China is a Party to CITES.  Hong Kong SAR, China, however, has its own CITES Management Authority and Scientific Authority.  M acao SAR, China also has its own 
Management Authority. 
Æ According to the CITES Secretar iat, key non-parties include:  Angola;  Armenia;  Bahrain;  Bosnia and Herzegovina;  Democratic  People's Republic of Korea;  East Timor;  the 
European Communities;  Haiti;  Kyrgyzstan;  Lebanon;  Solomon Islands and Turkmenistan. 
(d) CCAMLR 
Article X 
"1. The Commission shall draw the attention of any State which is not a Party to this Convention to any activity undertaken by its nationals or vessels which, in the opinion of the 
Commission, affects the implementation of the objective of this Convention".... 
 
Conservation Measure 10-07 (2006) – Scheme to Promote Complia nce by Non-Contracting Party Vesse ls with CCAMLR Conservation Meas ures 
"...1. The Contracting Parties request non-C ontracting Parties to cooperate fully with the Commission with a view to ensuring t hat the effectiveness of CCAMLR conservation 
measures is not undermined. 
2. At each annual meeting the Commission shall identify those non-Contracting Parties whose vessels are engaged in IUU fishing activities in the Convention Area that threaten to 
undermine the effectiveness of CCAMLR conservation measures, and shall establish a list of such vessels (NCP-IUU Vessel List), in accordance with the pr ocedures and criteria 
set out hereafter.... 
4. A non-Contracting Party vessel which has been sighted engaging in fishing activities in the Convention Area or which has bee n denied port access, landing or transhipment in 
accordance with Conservation Meas ure 10-03 is presumed to be undermining the e ffectiveness of CCAMLR c onservation measures. In the case of any transhipment activities 
involving a sighted non-Contracting Party vessel inside or outs ide the Convention Area, the presumption of undermining the effe ctiveness of CCAMLR conservation measures 
applies to any other non-Contracting Party vessel which has engaged in such activities with that vessel. 5. When a non-Contracting Party vessel referred to in paragraph 4 enters a port of any Contracting Party, it shall be inspected  by authorised Contracting Party officials in 
accordance with Conservation Measur e 10-03 and shall not be allowed to land or tr anship any fish species subject to CCAMLR cons ervation measures it might be holding on board 
unless the vessel establishes that the fish were caught in compliance with all relevant CCAMLR conservation measures and requir ements under this Convention. 
6. A Contracting Party which sights a non-Contracting Party ve ssel engaging in fishing activities in the Convention Area or den ies a non-Contracting Party port access, landing or 
transhipment under paragraph 5 shall attempt to inform the vessel that it is presumed to be undermining the effectiveness of CC AMLR conservation measures, and that this 
information will be distributed to the Executive Secretary, all Contracting Parties and the Flag State of the vessel. 
7. Information regarding such sightings or denial of port access, landings or transhipments, and the result of all inspections conducted in the ports of Contracting Parties, and any 
subsequent action shall be transmitted within one business day to  the Commission in accordance with  Article XXII of the Convent ion. The Executive Secret ary shall transmit this 
information to all Contracting Parties, w ithin one business day of receiving it, and to the Flag State of the vessel concerned as soon as possible and to appropriate regional fisheries 
organisations. At this time, the Executive Secretary shall, in consultation with the Chair of the Commission, request the Flag State concerned that, where appropriate, measures be 
taken in accordance with its applicable laws and regulations to  ensure that the vessel desists from any activities that undermi ne the effectiveness of CCAMLR conservation 
measures, and that the Flag State report ba ck to CCAMLR on the results of such enquir ies and/or on the measures it has taken in  respect of the vessel.... 
9. In order for a non-Contracting Party’s vessel to be included  in the NCP-IUU Vessel List, there must be evidence, gathered in  accordance with paragraphs 3 and 8, that the vessel  
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(i) been sighted engaging in fishing activities in the CCAMLR Convention Area; or 
(ii) been denied port access, landing or transhipme nt in accordance with Cons ervation Measure 10-03; or 
(iii) transhipped or participated in join t fishing operations with, supported or re supplied other vessels identified by CCAMLR as carrying out IUU fishing activities (i.e. vessels on 
the NCP-IUU Vessel List or the CP-IUU Vessel List established under Conservation Measure 10-06); or 
(iv) failed to provide, when required under Conservation Measure 10-05, a valid catch document for Dissostichus spp.; or 
(v) engaged in fishing activities in a manner that undermines the attainment of the objectives of the Convention...; or 
(vi) engaged in fishing activities contrary to any other CCAMLR conservation measures in a manner that undermines the attainmen t of the objectives of the Convention according 
to Article XXII of the Convention.... 18. SCIC shall recommend that the Commission should remove a ve ssel from the NCP-IUU Vessel List if the non-Contracting Party p roves that: 
(i) the vessel did not take part in the activities described in pa ragraph 9 which led to the inclusion of the vessel in the NCP -IUU Vessel List; or 
(ii) it has taken effective action in response to the activitie s in question, including prosecution and imposition of sanctions  of adequate severity; or 
(iii) the vessel has changed ownership including beneficial ownershi p if known to be distinct from the registered ownership and  that the new owner can establish the previous 
owner no longer has any legal, financial, or real interests in the vessel, or exercises control over it and that the new owner has not participated in IUU fishing; or 
(iv) it has taken measures considered sufficient to ensure the granting of the right to the vessel to fly its flag will not res ult in IUU fishing.... 
21. On approval of the NCP-IUU Vessel List, the Commission shall request non- Contracting Parties whose vessels appear thereon to take all necessary measures to address these 
activities, including if n ecessary, the withdrawal of the registration or of  the fishing licences of these vessels, the nullifi cation of the relevant catch documents and denial of further 
access to the CDS, and to inform the Commission  of the measures taken in this respect. 
22. Contracting Parties shall take all necessary measures, to the extent possible in accordance with their applicable laws and regulations, in order that: 
(i) the issuance of a licence to vessels on the NCP-IUU Vessel Li st to fish in waters under their fisheries jurisdiction is pro hibited; 
(ii) fishing vessels, support vessels, refuel vessels, mother-ships and cargo vessels flying their flag do not in any way assis t vessels on the NCP-IUU Vessel List by participating in 
any transhipment or joint fishing operations, supporting or resupplying such vessels;  
(iii) vessels on the NCP-IUU Vessel List sh ould be denied access to ports unless for the purpose of enforcement action or for r easons of force majeure  or for rendering assistance to 
vessels, or persons on those vessels, in danger or distress.  Vesse ls allowed entry to port are to be inspected in accordance w ith relevant conservation measures;  
(iv) where port access is granted to such vessels: 
(a) documentation and other information, including DCDs where relevant are examined, with a view to verifying the area in which  the catch was taken; and where the origin 
cannot be adequately verified, the catch is detained or an y landing or transhipment of the catch is refused; and  
(b) where possible  
 i. in the event catch is found to be taken in contravention of CCAMLR conservation measures, catch is confiscated;  ii. all support to such vessels, including non-emerge ncy refuelling, resupplying and repairs is prohibited. 
(v) the chartering of vessels on the NCP-IUU Vessel List is prohibited;   
(vi) granting of their flag to vessels on  the NCP-IUU Vessel List is refused;   
(vii) imports, exports and re-exports of Dissostichus  spp. from vessels on the NCP-IUU Vessel List are prohibited;  
(viii) ‘Export or Re-export Government Authority Va lidation’ is not certified when the shipment (of Dissostichus  spp.) is declared to have been caught by any vessel on the NCP-
IUU Vessel List;   (ix) importers, transporters and other sectors concerned are encouraged to refrain from dealing with and from transhipping of f ish caught by vessels on the NCP-IUU Vessel List;    
(x) any appropriate information which is suitably documented is co llected and submitted to the Exec utive Secretary, to be forwa rded to Contracting Parties and non-Contracting 
Parties, entities or fishing entities cooperati ng with the Commission by participating in the CDS, with the aim of detecting, c ontrolling  
and preventing the importation or exportation of, and other trade-related activities relating to, catches from vessels on the N CP-IUU Vessel List intended to circumvent this 
conservation measure.   
30. The Commission shall decide appropriate measures to be taken in respect to Dissostichus spp. so as to address these issues with thos e identified non-Contracting Parties. In this 
respect, Contracting Parties may cooperate to  adopt appropriate multilatera lly agreed trade-related m easures, consistent with t heir obligations as members of the World Trade 
Organization, that may be necessary to prevent, deter and el iminate the IUU activities identified by the Commission. Multilater
al trade-related measures may be used to support  
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Page 126 cooperative efforts to ensure that trade in Dissostichus  spp. and its products does not in any way encourage IUU fi shing or otherwise diminish the effectiveness of CCAMLR’s 
conservation measures which are consistent with the Un ited Nations Convention on the Law of the Sea 1982." 
 
Policy to Enhance Cooperation between CCAMLR and Non-Contracting Parties  (as adopted in 1998 at CCAMLR-XVII and amended in 2006 at CCAMLR-XXV) 
"I. The Executive Secr etary is requested to develop a list of non-Contracting Parties implicated in IUU fishing and or trade ei ther after the adoption of this policy or during the 
three years prior, which has undermined the effectiveness of CCAMLR conservation measures. 
 II. The Chairman of the Commission shall write to the Minister  for Foreign Affairs of each non-Contracting Party included in t he abovementioned list explaining how IUU fishing 
undermines the effectiveness of CCAMLR conservatio n measures.  The letter, as appropriate, will: 
(a) invite and encourage non-Contracting Parties to attend as observers at meetings of the Commission in order to improve their  understanding of the work of the Commission 
and the effects of IUU fishing; 
(b) encourage non-Contr acting Parties to accede  to the Convention; 
(c) inform non-Contracting Parties of the development and implementation of the CCAMLR Catch Documentation Scheme for Dissostichus  spp. and provide them with a copy 
of the conservation measure and the explanatory memorandum; 
(d) encourage non-Contracting Parties to participate in the CCAMLR Catch Documentation Scheme and draw their attention to the c onsequences for them of not participating; 
(e) request non-Contracting Parties to prevent their flag vessels from fishing in the Convention Area in a manner which undermi nes the effectiveness of measures adopted by 
CCAMLR to ensure conservation and sustainably managed fisheries; 
(f) if their flag vessels are involved in IU U fishing, request non-Contracting Parties to provide information to the CCAMLR Sec retariat on their vessels’ activities, including 
catch and effort data; 
(g) seek the assistance of non-Contracting Parties in investiga ting the activities of their flag vessels suspected of being inv olved in IUU fishing, including inspecting such vessels 
when they next reach port; 
(h) request non-Contracting Parties to repor t to the CCAMLR Secretariat on landings and transhipment s in their ports in accorda nce with the format speci fied in Attachment A; 
and 
(i) request non-Contracting Parties to deny landing or transhipme nts in their ports for fish harvested in CCAMLR waters not tak en in compliance with CCAMLR 
conservation measures and requirements under the Convention."  
(e) Montreal Protocol  
Æ See Article 4 (in Section II above).  
Æ According to Article 4:8, trade restrictions do not apply if a non-party is in compliance with the Protocol.  
(f) Basel Convention 
Article 4 – General Obligations 
"...5. A Party shall not permit hazardous wast es or other wastes to be exported to a non-Party or to be imported from a non-Par ty". 
Article 7 – Transboundary Movement from a Party through States which are not Parties  
"Paragraph 1 of Article 6 of the Convention shall apply mutatis mutandis  to transboundary movement  of hazardous wastes or other wastes from a Party through a State or States 
which are not Parties". 
Article 11 – Bilateral, Multilateral and Regional Agreements 
"1. Notwithstanding the provisions of Article 4 paragraph 5, Par ties may enter into bilateral, multilateral, or regional agreem ents or arrangements regarding transboundary 
movement of hazardous wastes or other wast es with Parties or non-Parties provided that  such agreements or arrangements do not d erogate from the environmentally sound 
management of hazardous wastes and other wastes as required by this Convention.  These agreements or arrangements shall stipula te provisions which are not less environmentally 
sound than those provided  for by this Convention in particular taking in to account the interests of  developing countries. 
2. Parties shall notify the Secret ariat of any bilateral, multilateral or regional  agreements or arrangements referred to in pa ragraph 1 and those which they have entered into prior to  
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 Page 127the entry into force of th is Convention for them, for the pur pose of controlling transboundary movements of hazardous wastes an d other wastes which take place entirely among the 
Parties to such agreements.  Th e provisions of this C onvention shall not affect  transboundary movements which take place pursua nt to such agreements  provided that such 
agreements are compatible with the environmentally sound management of hazardous wastes and other wastes as required by this Co nvention".  
Æ Parties can consent to transboundary movements with non-pa rties provided the provisions in the Convention are met. 
(g) CBD 
Æ There are no articles that deal directly w ith the rights of non-parties.  According to rules of procedure of the COP, meetings  of the Convention are open to non-parties as 
observers. 
Æ A few non-parties have submitted reports on measures taken to  implement the CBD: Brunei Darussalam has submitted a "Report on Implementation of Programme of Work for 
the Global Taxonomy Initiative,"and the United States has submitted a "Voluntary Report on Implementation of Expanded Programme  of Work on Forests." 
(h) Cartagena Protocol 
Article 24 – Non-Parties 
"1. Transboundary movements of [LMOs] between Parties and non-Par ties shall be consistent with the objective of this Protocol.  The Parties may enter into bilateral, regional and 
multilateral agreements and arrangements with non- Parties regarding such transboundary movements. 
2. The Parties shall encourage non-Parties to adhere to this Protocol and to contribute appropriate information to the [BCH] on  [LMOs] released in, or moved into or out of, areas 
within their national jurisdictions". 
Æ In Decision BS-I/11 COP-MOP 1 adopted a guidance on the transboundary movement of LMOs between Parties and non-Parties.  Accord ing to this, in exporting LMOs to non-
Parties, Parties should ensure prior notification and risk asse ssment and assist non-Parties to ma ke informed decisions on the imports of LMOs.  Parties should also apply their 
domestic regulatory framework to imports of LMOs from non-Parties, protect confiden tial information received from non-Parties a nd monitor transboundary movements of LMOs 
between Parties and non-Parties.  Non-Par ties are encouraged to ratify the Protocol, cooperate with Parties to achieve the Prot ocol's objective, adhere to the provisions of the 
Protocol on a voluntary basis, make available to the Biosafety Clearing-House information required under the Protocol and parti cipate in capacity-building activities. 
(i) UNFCCC 
No provisions 
(j) Kyoto Protocol 
No provisions 
(k) ITTA 
No provisions 
Æ According to the ITTO Secretariat, all States that are considered key players ar e members, except the Russian Federation. 
Æ Non-member stakeholders have established two advisory groups to facilitate their participation in the Council and to provide i nput to the Council’s decision-making process. 
These are the Trade Advisory Group an d the Civil Society Advisory Group. 
(l) UN Fish Stocks Agreement 
Article 8 – Cooperation for conservation and management 
"1. Coastal States and States fishing on th e high seas shall, in accord ance with the Convention, pu rsue cooperation in relation  to straddling fish stocks and highly migratory fish 
stocks either directly or through appropriate subregional or regional fisheries management organizations or arrangements, takin g into account the specific characteristics of the  
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Page 128 subregion or region, to ensure effective conservation and management of such stocks. 
2. States shall enter into consultations in good faith and with out delay, particularly where there is evidence that the straddl ing fish stocks and highly migratory fish stocks concerned 
may be under threat of over-exploitation or where a new fishery is being developed for such stocks.  To this end, consultations  may be initiated at the request of any interested State 
with a view to establishing appropriate arrangements to ensure conservation and management of the stocks.  Pending agreement on  such arrangements, States shall observe the 
provisions of this Agreement and shall act in good faith and w ith due regard to the rights, interests and duties of other State s.  
3. Where a subregional or regional fisheries management organization or arrangement has the competence to establish conservatio n and management measures for particular 
straddling fish stocks or highly migratory fish stocks, States fishing for the stocks on the high seas and relevant coastal Sta tes shall give effect to their duty to cooperate by 
becoming members of such organization or participants in such arrangement, or by agreeing to apply the conservation and managem ent measures established by such organization 
or arrangement.  States having a real interest in the fisheries concerned may become members of such organization or participan ts in such arrangement.  The terms of participation 
in such organization or arrangement shall not preclude such States from membership or participation;  nor shall they be applied  in a manner which discriminates against any State 
or group of States having a real interest in the fisheries concerned. 
4. Only those States which are members of such an organization or  participants in such an arra ngement, or which agree to apply the conservation and management measures 
established by such organization or arrangement, shall have access to the fishery resources to  which those measures apply. 
5. Where there is no subregional or regional fisheries management organization or arrangement to establish conservation and man agement measures for a particular straddling fish 
stock or highly migratory fish stock, relevant coastal States and States fishing on the high seas for such stock in the subregi on or region shall cooper ate to establish such an 
organization or enter into other appropriate arrangements to ensu re conservation and management of such stock and shall partici pate in the work of the organization or arrangement. 
6. Any State intending to propose that action be taken by an intergovernmental organization having competence with respect to l iving resources should, where such action would 
have a significant effect on conservation and management measures already established by a competent subregional or regional fi sheries management organization or arrangement, 
consult through that organization or arrangement with its member s or participants.  To the extent practicable, such consultatio n should take place prior to the submission of the 
proposal to the intergovernmental organization". 
Article 17 – Non-members of organization s and non-participants in arrangements 
"1. A State which is not a member of a subregional or regional fi sheries management organization or is not a participant in a s ubregional or regional fisheries management 
arrangement, and which does not otherwise agree to apply the cons ervation and management measures established by such organizat ion or arrangement, is not discharged from the 
obligation to cooperate, in accordance with the Convention and th is Agreement, in the conservation and management of the releva nt straddling fish stocks and highly migratory fish 
stocks. 
2. Such State shall not authorize vessels flying its flag to engage in fishing operations for the straddling fish stocks or hig hly migratory fish stocks which are subject to the 
conservation and management measures established by such organization or arrangement. 
3. States which are members of a subregional or regional fisheries management organization or participants in a subregional or regional fisheries management arrangement shall, 
individually or jointly, request the fishing entities referred to in  article 1, paragraph 3, which have fishing vessels in the relevant area to cooperate fully with such organization or 
arrangement in implementing the conservation and management measures it has established, with a view to having such measures ap plied de facto as extensively as possible to 
fishing activities in the relevant area.  Such fishing entities sh all enjoy benefits from participation in the fishery commensu rate with their commitment to comply with conservation 
and management measures in respect of the stocks. 4. States which are members of such organization or participants in such arrangement shall exchange information with respect to  the activities of fishing vessels flying the flags of 
States which are neither members of the organization nor participants in the arrangement and which are engaged in fishing opera tions for the relevant stocks.  They shall take 
measures consistent with this Agreement and international law to deter activities of such vessels which undermine the effective ness of subregional or regional conservation and 
management measures". 
Æ The Agreement provides, as a general rule, that a State which is not a member of a RF MO or is not a participant in a subregion al or regional fisheries management arrangement, 
shall not authorize a vessel flying its flag to engage in fishing operations for the straddling fish stocks and highly migrator y fish stocks, which are subject to the conservation and 
management measures of such organization or arrangement.  It th erefore requests member States of  RFMOs and arrangements to dete r the activities of vessels of non-member 
States or non-participants in their regulatory areas, which undermine conservation and management measures.   
  
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"1. States Parties shall encourage non-parties to this Agreement to become parties thereto and to adopt laws and regulations co nsistent with its provisions. 
2. States Parties shall take measures consistent with this Ag reement and international law to deter the activities of vessels f lying the flag of non-parties which undermine the 
effective implementation of this Agreement". 
(m) Rotterdam Convention 
Article 10 – Obligations in relation to  imports of chemicals listed in Annex III 
"...9. A Party that, pursuant to paragraphs 2 and 4 above and pa ragraph 2 of Article 11, takes a decision not to consent to imp ort of a chemical or to consent to its import only under 
specified conditions shall, if it has not already done so, simultaneously prohibit or make subject to the same conditions:  
(a) Import of the chemical from any source ...". 
(n) Stockholm Convention 
Article 3 – Measures to reduce or eliminate releases from intentional production and use 
"...2. Each Party shall take measures to ensure: ... 
(b) That a chemical listed in Annex A for which any production or  use specific exemption is in effect or a chemical listed in A nnex B for which any production or use specific 
exemption or acceptable purpose is in eff ect, taking into account any relevant provi sions in existing inte rnational prior infor med consent instruments, is exported only: 
(i) For the purpose of environmentally sound disposal as set forth in paragraph 1 (d) of Article 6; 
(ii) To a Party which is permitted to use that chemical under Annex A or Annex B;  or  (iii) To a State not Party to this Convention which has provided an annual certification to the exporting Party.  Such certific ation shall specify the inte nded use of the chemical 
and include a statement th at, with respect to that chemical , the importing State is committed to: 
a. Protect human health and the environment by taking the necessary measures to minimize or prevent releases; 
b. Comply with the provisions of paragraph 1 of Article 6;  and 
c. Comply, where appropriate, with the provisions of paragraph 2 of Part II of Annex B. 
The certification shall also include any appropriate supporting documentation, such as legislation, regulatory instruments, or administrative or policy guidelines.  The exporting 
Party shall transmit the certifica tion to the Secretariat within sixty days of receipt ...". 
 
 
 
 
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ANNEX 1 – MEMBERSHIP IN WTO AND MEAS – COMPARATIVE TABLE  
 
 
Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
WTO Members  
Albania 1   1 1     1 1  1  1  1 1  1  1   1 1  1  1       1 
Angola   1         1 1               1   1          1 
Antigua and 
Barbuda  1   1 1 1   1 1 1 1 1   1     1 1 1 1       1 
Argentina 1   1 1 1 1 1 1 1 1 1  1 1     1   1 1     1 1 
Armenia  1           1 1 1 1     1     1 1 1 1     1 1 
Australia 1   1 1 1 1 1 1 1 1 1 1  1     1   1   1 1 1 1 
Austria 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Bahrain 1           1 1 1 1 1   1  1   1   1  1        1 
Bangladesh 1   1       1 1 1 1 1   1     1 1 1 1         
Barbados 1 1 1 1 1   1 1 1 1 1 1 1     1 1 1 1   1   1 
Belgium 1   1 1 1 1 1 1 1 1  1 1  1 1   1 1 1 1 1 1 1  1 
Belize 1 1  1 1 1   1 1 1 1     1     1 1 1 1   1  1    
Benin     1       1 1 1 1     1     1 1  1 1     1 1 
Bolivia 1   1   1   1 1 1 1 1   1  1   1 1 1 1 1   1 1 
Botswana     1 1 1   1 1 1 1     1 1 1 1 1 1 1       1 
Brazil 1 1 1 1 1 1 1 1 1 1 1 1 1     1 1 1 1 1 1 1 1 
Brunei 
Darussalam     1 1 1   1 1         1 1                   
Bulgaria 1   1 1   1 1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Burkina Faso 1   1 1 1   1 1 1 1 1 1 1     1 1 1  1     1 1 
Burundi  1   1 1     1 1 1 1 1 1 1     1   1 1     1 1   
   WT/CTE/W/160/Rev.4
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 Page 131Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Cambodia 1   1 1     1 1         1     1 1 1 1 1       
Cameroon 1    1       1 1 1 1     1     1 1 1 1 1   1   
Canada 1 1 1 1 1 1 1 1 1 1 1 1 1     1   1 1 1 1 1 1 
Central 
African 
Republic 1   1       1 1          1     1   1   1       
Chad 1   1 1     1 1 1 1 1   1     1  1 1       1 1 
Chile 1   1 1 1 1 1 1 1 1 1 1 1     1   1 1      1 1 
China  1 1 1 1 1 1  1 1 1 1     1 1   1 1  1 1 1    1 1 
Colombia 1   1  1 1    1 1 1 1 1 1 1     1 1 1 1 1      1 
Congo 1   1   1   1 1 1 1 1 1       1  1 1   1   1    
Costa Rica 1   1       1 1 1 1 1    1     1   1 1   1     
Côte d'Ivoire 1 1 1 1     1 1 1 1     1     1   1   1   1 1 
Croatia 1 1 1 1 1   1 1 1 1 1 1 1     1 1 1           
Cuba 1   1 1     1 1 1 1 1  1  1     1 1 1 1         
Cyprus 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1   1 1 1  
Czech 
Republic 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Democratic 
Republic of 
the Congo     1       1 1 1 1  1 1  1     1 1 1  1  1 1    1 
 1  
Denmark 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Djibouti     1 1     1 1 1 1 1   1     1 1 1 1     1 1 
Dominica 1    1 1     1 1 1  1  1  1 1     1 1 1 1     1  1 
Dominican 
Republic 1   1       1 1 1 1     1     1 1  1 1      1   
Ecuador 1   1 1     1 1 1 1     1 1   1 1 1 1 1   1 1 
Egypt 1   1 1 1   1 1 1 1 1   1 1   1 1 1  1 1     1 
El Salvador 1   1 1     1 1 1 1 1   1     1 1 1 1     1    
  WT/CTE/W/160/Rev.4 
TN/TE/S/5/Rev.2 
Page 132 
Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Estonia 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1    1  1   
European 
Communities  1 1       1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Fiji  1   1 1 1   1 1 1 1           1 1 1 1 1 1   1 
Finland 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Former 
Yugoslav 
Republic of 
Macedonia 
(FYROM) 1   1 1     1 1 1 1 1 1 1 1   1  1 1 1       1 
France 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Gabon   1 1 1     1 1 1 1 1 1       1   1   1   1   
Gambia     1       1 1 1       1 1   1 1 1 1     1  1 
Georgia     1 1     1 1 1 1 1   1     1   1 1       1  
Germany 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Ghana 1 1 1   1   1 1 1 1 1   1 1 1   1 1 1 1 1 1   1 1 
Greece 1   1 1 1 1 1 1 1 1 1   1 1     1 1 1 1 1 1 1  1 
Grenada 1   1 1 1   1 1 1 1 1 1       1 1 1 1         
Guatemala 1 1 1       1 1 1 1 1 1 1     1 1 1 1 1       
Guinea 1 1 1       1 1 1       1     1   1 1    1 1   
Guinea-Bissau     1 1     1 1 1 1 1 1  1     1   1 1          
Guyana 1   1 1     1 1 1 1 1   1     1   1 1 1       
Haiti 1           1 1 1 1 1         1   1  1         
Honduras 1 1 1       1 1 1 1     1     1   1 1 1      1 
Hong Kong, 
China                                               
Hungary 1   1 1  1   1 1 1 1 1 1 1 1   1 1 1 1     1   
Iceland  1 1 1 1 1   1 1 1 1 1 1 1     1   1 1   1   1 
India 1   1 1 1 1 1 1 1 1 1 1 1     1 1 1 1 1 1  1 1   
   WT/CTE/W/160/Rev.4
 TN/TE/S/5/Rev.2
 Page 133Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Indonesia 1   1 1     1 1 1 1  1 1  1 1   1 1 1 1 1       
Ireland 1   1 1 1   1 1 1 1  1  1 1     1 1 1 1 1 1 1   
Israel 1   1       1 1 1 1 1 1 1     1   1 1         
Italy 1   1 1 1 1 1 1 1 1 1 1 1     1 1 1 1 1 1 1   
Jamaica 1   1 1     1 1 1 1 1 1 1     1   1 1     1   
Japan 1 1 1 1   1 1 1 1 1 1 1 1     1 1 1 1 1 1   1 1 
Jordan 1   1 1     1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Kenya 1   1 1 1   1 1 1 1 1   1     1 1 1 1   1 1  1 
Korea, 
Republic of 1 1 1 1 1 1 1 1 1 1 1 1 1     1   1 1 1   1   
Kuwait  1   1 1     1 1 1 1 1   1  1   1   1  1      1 1 
Kyrgyz 
Republic 1           1 1 1 1 1 1  1     1  1 1 1     1  1 
Latvia 1   1 1  1   1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Lesotho     1 1     1 1         1     1 1 1 1       1 
Liechtenstein     1 1 1   1 1 1 1 1 1 1 1   1   1 1     1 1 
Lithuania 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1     1  1 
Luxembourg 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Macao, China                                               
Madagascar 1    1 1  1   1 1 1 1 1 1 1     1 1 1 1     1 1 
Malawi 1   1   1   1 1 1 1     1     1   1 1         
Malaysia 1   1       1 1 1 1 1 1 1 1   1 1 1 1 1   1   
Maldives             1 1 1 1 1 1 1     1 1 1 1   1 1 1  
Mali 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1     1 1 
Malta 1   1 1     1 1 1 1 1 1 1     1   1 1   1     
Mauritania 1   1 1     1 1  1  1 1     1     1  1 1 1      1  1  
Mauritius 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1   1  1 1 
Mexico 1 1 1 1     1 1 1 1  1   1     1 1 1 1 1    1 1  
  WT/CTE/W/160/Rev.4 
TN/TE/S/5/Rev.2 
Page 134 
Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Moldova 1   1 1     1 1 1 1 1    1     1 1 1 1      1 1 
Mongolia     1 1     1 1 1 1 1   1     1 1 1 1     1 1 
Morocco 1 1 1 1 1   1 1 1 1     1 1   1   1 1       1 
Mozambique     1       1 1 1 1     1     1 1 1  1       1  
Myanmar  1   1 1     1 1 1             1   1 1 1     1 
Namibia   1 1 1   1 1 1 1 1     1     1  1 1 1   1 1   1 
Nepal  1   1 1     1 1 1       1     1   1 1 1       
Netherlands 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
New Zealand 1   1 1 1 1 1 1 1 1 1 1 1     1  1 1 1 1 1 1 1 
Nicaragua 1 1 1       1 1 1 1     1     1 1 1 1        1 
Niger 1   1 1 1   1 1 1 1 1 1  1     1 1 1 1      1 1 
Nigeria 1   1 1     1 1 1 1 1 1 1 1   1 1 1 1 1   1 1 
Norway 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Oman 1           1 1 1 1  1  1 1 1   1 1 1  1     1  1 
Pakistan 1   1 1     1 1 1 1  1 1  1     1   1 1      1    
Panama 1 1 1 1     1 1 1 1 1 1 1 1   1 1 1 1 1   1 1 
Papua New 
Guinea 1   1 1     1 1 1 1     1     1  1 1 1 1 1   1 
Paraguay 1   1 1 1   1 1 1 1 1  1 1 1   1 1 1 1     1 1 
Peru 1   1 1 1 1 1 1 1 1     1     1 1 1 1 1   1   1  
Philippines 1 1 1   1   1 1 1 1  1 1  1     1  1 1 1 1    1 1 
Poland 1   1 1 1 1 1 1 1 1 1  1 1 1   1 1 1 1    1 1    
Portugal 1   1   1   1 1 1 1 1  1 1 1   1 1 1 1 1 1  1 1 
Qatar 1    1 1     1 1 1 1     1 1   1   1 1      1 1 
Romania 1   1 1     1 1 1 1 1  1 1 1   1 1 1 1     1 1 
Rwanda     1 1 1   1 1 1 1 1 1 1     1 1 1 1     1 1 
Saint Kitts 
and Nevis 1   1 1 1   1 1 1 1 1   1     1 1 1         1  
   WT/CTE/W/160/Rev.4
 TN/TE/S/5/Rev.2
 Page 135Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Saint Lucia 1   1 1 1   1 1 1 1 1 1 1 1   1 1  1 1   1   1 
Saint Vincent 
and the 
Grenadines 1 1  1 1     1 1 1 1     1     1 1 1 1 
       1 
Saudi Arabia 1   1 1     1 1 1 1     1     1   1  1     1   
Senegal 1 1  1 1 1   1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Sierra Leone 1   1 1     1 1 1 1 1 1       1   1         1 
Singapore     1       1 1 1 1 1   1     1   1 1       1  1 
Slovak 
Republic 1    1 1 1   1 1 1 1 1 1 1 1   1 1 1 1       1 
Slovenia 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1    1 1 1 
Solomon 
Islands 1           1 1 1 1 1         1 1 1 1   1   1 
South Africa 1 1 1 1   1 1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Spain 1   1   1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Sri Lanka 1   1   1   1 1 1 1 1 1 1 1   1 1 1 1   1  1  1 
Suriname 1   1 1     1 1  1 1   1 1        1   1  1   1   
Swaziland 1   1 1     1 1  1  1 1   1  1     1  1 1 1         1 
Sweden 1   1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
Switzerland 1   1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1   1 1 
Chinese 
Taipei                                               
Tanzania  1   1   1   1 1 1 1 1 1 1 1   1 1 1 1     1 1 
Thailand 1   1       1 1 1 1 1  1 1     1 1  1 1 1   1 1 
Togo 1   1 1 1   1 1 1 1 1 1 1   1 1 1 1 1 1   1 1 
Trinidad and 
Tobago 1 1 1 1 1   1 1 1 1 1 1 1 1   1 1 1 1 1  1    1 
Tunisia 1 1 1 1     1 1 1 1 1  1 1 1   1 1 1 1       1 
Turkey 1 1 1 1     1 1 1 1 1 1 1 1   1 1 1            
  WT/CTE/W/160/Rev.4 
TN/TE/S/5/Rev.2 
Page 136 
Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Uganda     1 1 1   1 1 1 1 1   1     1 1 1 1       1 
United Arab 
Emirates 1   1 1     1 1  1 1   1  1 1     1   1 1      1 1 
United 
Kingdom of 
Great Britain 
and Northern 
Ireland 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1 1 1 1 1 1 1 1 
United States 
of America 1 1 1 1   1 1 1 1 1 1 1           1   1 1     
Uruguay 1 1 1 1 1 1 1 1 1 1 1 1 1 1   1   1 1   1 1 1 
Venezuela 1 1 1   1   1 1 1 1 1   1     1 1 1  1 1    1  1 
Vietnam 1    1 1     1 1 1 1  1  1 1     1 1 1 1       1 
Zambia 1   1       1 1 1       1     1 1 1 1         1 
Zimbabwe     1 1 1   1 1 1 1           1  1 1           
Total Number 
of WTO 
Members 
party to the 
MEA 127 35 138 110 73 30 147 147 142 137 115 92 135 56 4 145 109 146 132 58 47 96 109 
Non-WTO Members  
Afghanistan     1       1 1 1 1 1 1       1   1           
Algeria 1 1 1       1 1 1 1     1     1 1 1 1         1 
Andorra                         1 1                   
Azerbaijan 1   1 1     1 1 1 1 1   1     1  1 1 1       1 
Bahamas 1   1       1 1 1 1 1  1  1     1 1 1 1   1     
Belarus  1   1 1     1 1 1       1     1 1 1  1       1 
Bhutan 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1         
Bosnia and 
Herzegovina 1           1 1 1 1 1   1     1   1           
Cape Verde 1 1  1 1 1    1 1 1 1 1   1     1 1  1 1      1  1   
   WT/CTE/W/160/Rev.4
 TN/TE/S/5/Rev.2
 Page 137Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Comoros     1 1     1 1 1 1 1 1 1     1   1           
Cook Islands 1          1 1 1 1 1 1 1 1 1   1   1 1   1 1 1 
Democratic 
People's 
Republic of 
Korea 1           1 1 1 1 1 1       1 1 1  1     1 1 
Equatorial 
Guinea 1 1 1 1     1  1         1     1   1 1     1   
Eritrea 1   1 1 1    1 1  1   1 1   1  1     1  1 1  1      1 1  
Ethiopia 1   1 1     1 1         1 1 1 1 1 1 1      1 1 
Iran 1   1 1     1 1 1 1 1   1     1 1 1 1    1 1  1 
Iraq 1                                             
Kazakhstan     1 1     1 1 1       1     1   1           
Kiribati             1 1 1 1 1 1 1     1 1 1 1   1    1 
Lao People's 
Democratic 
Republic 1   1 1     1 1  1 1  1   1       1 1 1 1        1 
 
Lebanon 1           1 1 1 1 1   1     1   1        1 1 
Liberia 1   1       1 1 1 1 1 1 1  1  1 1 1 1 1 1  1 1 1 
Libyan Arab 
Jamahiriya 1 1 1 1     1 1 1 1     1     1  1 1      1  1 
Marshall 
Islands             1 1 1 1 1 1 1     1 1 1 1   1 1 1 
Micronesia             1 1 1 1 1 1 1     1   1 1   1    1 
Monaco     1 1 1   1 1 1 1 1 1 1     1   1 1   1   1 
Montenegro       1 1 1 1 1 1 1 1  1 1      1 
Nauru             1 1 1 1 1 1 1     1 1 1 1   1   1 
Niue  1           1 1 1 1 1 1       1 1 1 1    1   1 
Palau  1   1 1 1   1 1 1 1 1 1       1 1 1 1         
Russian 1 1 1 1   1 1 1 1  1 1  1  1     1   1 1   1      
  WT/CTE/W/160/Rev.4 
TN/TE/S/5/Rev.2 
Page 138 
Parties 
IPPC, 1997  
ICCAT  
CITES  
CITES, Bonn 
Amendment  
CITES, Gaborone 
Amendment  
CCAMLR  
Vienna 
Convention  
Montreal Protocol 
(MP) 
MP - London 
Amendment  
MP - Copenhagen 
Amendment  
MP - Montreal 
Amendment  
MP - Beijing 
Amendment 
Basel Convention 
Basel Convention 
Ban Amendment 
Basel Convention 
Protocol on Liability 
CBD 
Biosafety Protocol 
UNFCCC 
Kyoto Protocol 
ITTA 
UN Fish Stocks 
Agreement 
Rotterdam 
Convention 
Stockholm 
Convention 
Federation 
Samoa  1   1 1 1    1 1 1 1 1 1 1     1 1 1 1   1 1 1 
San Marino     1   1                       1   1           
Sao Tome and 
Principe  1 1 1 1     1 1 1 1 1 1       1   1          1 
Serbia  1   1 1     1 1 1   1  1  1 1 1   1  1 1           
Seychelles 1   1 1 1   1 1 1 1 1 1 1     1 1 1 1   1     
Somalia     1       1 1 1 1 1 1                       
Sudan 1   1       1 1 1 1 1 1  1     1  1 1 1     1   1 
Syrian Arab 
Republic 1  1 1 1     1 1 1 1 1   1 1 1 1 1 1  1     1  1 
Tajikistan             1 1 1             1 1 1           
Timor-Leste                1        
Tonga  1           1 1 1 1 1 1       1 1 1     1     
Turkmenistan             1 1 1       1     1   1 1         
Tuvalu 1            1 1 1 1 1 1       1   1 1       1 
Ukraine  1    1 1   1 1 1 1 1     1     1 1 1 1   1 1   
Uzbekistan     1 1 1   1 1 1 1  1  1 1     1   1 1         
Vanuatu   1 1 1   1 1 1 1 1           1   1 1 1      1 
Yemen 1   1 1     1 1 1 1 1   1     1 1  1 1      1 1 
Total Number 
of non-WTO 
Members 
party to the 
MEA 31 8 31 25 8 4 44 44 42 38 34 27 34 7 3 45 28 43 32 2 15 16 28 
Total Number 
of MEA 
Members 158 43 169 135 81 34 191 191 184 175 149 119 169 63 7 190 137 189 164 60 62 112 137 
 
 
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